Recorded Webinar: Best practice approaches to trade surveillance for market abuse
Breaches of market abuse regulation can lead to reputational damage, eye-watering fines and, ultimately, custodial sentences of up to 10 years. Internally, market abuse triggers scrutiny of traders and trading behaviours; externally it can undermine confidence in markets and cause financial instability.
This webinar will discuss market abuse of different types, such as insider trading and market manipulation, and offer practical guidance on how to take a proactive approach to detecting and preventing potential abuses using trade surveillance tools and technologies. It will also review market abuse regulation and offer financial institutions help on how best they can keep this kind of crime in check.
Listen to the webinar to find out more about:
- The types and extent of market abuse
- How abuse effects firms and the wider economy
- Guidance on best practice approaches to prevention
- Trade surveillance tools, techniques and technologies
- Benefits of getting it right, penalties of getting it wrong
Speakers:
More about our speakers:
Yasmine Li
Head of Surveillance EMEA
Macquarie Group
Yasmine is an SME in monitoring and surveillance programmes spanning financial and energy markets. Currently at Macquarie, heading up the EMEA surveillance function and also leading up surveillance globally for commodities, helping define, execute and maintain a strategic vision across risk assessments to vendor implementations.
Jamie Bell
Head of Secondary Market Oversight
Financial Conduct Authority (FCA)
Jamie joined the FSA/FCA in October 2007 following 10 years as an industry lobbyist. At the FCA, he has held a number of roles across consumer affairs, supervision, risk and markets, holding senior leadership roles in Retail Banking Supervision, Risk & Compliance Oversight and Market Oversight. He was deputy accountable executive for MiFID II implementation in the UK and accountable executive for the project onshoring the MiFID regime in the UK in preparation for Brexit. He is currently Head of Secondary Market Oversight, responsible for discharging the FCA’s duties under MiFID and MAR in secondary markets.
Dermot Harriss
Senior Vice President – Regulatory Solutions
OneTick
Dermot Harriss joined OneMarketData in 2015, and is responsible for delivering solutions that help firms meet their regulatory compliance needs. Mr. Harriss brings over twenty years of financial industry experience from roles involving futures trading, quantitative strategy development, derivatives risk management, program trading, execution services, and technology management.
Sponsors
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