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Since the Market Abuse Regulation came into effect in the UK in July 2016, the FCA has made clear that it is focusing on firms’ systems and controls to prevent market abuse, and that it places as strong an emphasis on identifying weaknesses in regulated firms’ controls as it does in pursuing the abuse itself.
Implementing what is required has been a daunting task for the compliance function across a range of financial institutions. While the fast approach of the MiFID II deadline further complicates the issue.
This conference, the seventeenth in the series, aims to alleviate the challenges through a mixture of presentations and interactive panel sessions from policy makers, industry practitioners and leading experts in the field.
We are pleased to announce that Julia Hoggett, Director of Market Oversight, FCA will give the keynote address.
The sessions will be as follows:
This event should be attended by management and members of the compliance departments and in-house legal teams within all financial service firms and their legal advisers.
TISA - Demonstrating and Evidencing Suitability,
22 Feb 2018 09:30
Great fraud debate,
28 Nov 2017 18:00
TISA - Product Management & Governance,
31 Jan 2018 09:30
CML annual dinner 2017,
06 Dec 2017 18:30
ABI - Meeting regulatory expectations of value for money,
10 Dec 2017 10:30
TISA - GDPR and PSD2 Data Security for Business Managers, Risk & Compliance,
07 Feb 2018 12:45
The Senior Managers’ and Certification Regime for Dual regulated firms,
04 Dec 2017 13:30
The 2nd UK Financial Services BREXIT Summit,
31 Jan 2018
Brexit and the UK Energy Sector: Implications for Market Participants,
19 Feb 2018
Understanding financial statements,
Dates available on application
TISA - MiFID II for Project Managers, Risk & Compliance,
06 Dec 2017 09:30