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Managing market abuse risk

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04 May 2023, 10:00 am - 11:00 am | UK & Europe

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The end of last year saw the FCA handing out a flurry of high-profile market abuse enforcement actions, with firms under increasing amounts of pressure to have robust frameworks in place managing and mitigating market abuse risk.

Our webinar reviewed some of the findings from recent FCA Market Watch publications and enforcement cases over the last year, and highlighted practical areas for firms to consider across:

  • surveillance
  • governance and culture
  • systems and controls

Speakers

Eoghan Hartigan

Eoghan Hartigan

Practice Lead, Capital Markets

Eoghan leads the capital markets team, supporting clients with best execution, CASS and the reporting obligations that come with trading activity, including transaction and EMIR reporting.

Monica Rodriguez

Monica Rodriguez

Managing Consultant

Monica assists clients by assessing their market abuse risks, ensuring policies and procedures are up to date with regulatory requirements under MAR, BMR and the FCA’s SYSC rules. She also helps clients to increase awareness of the regulatory requirements within their firms by providing presentations to employees and Board Members.

Peter Bowyer

Peter Bowyer

Consultant

Peter works with clients on a number of regulatory areas including CASS, market abuse and best execution. He regularly completes CASS RPs, policy and procedures and advises clients on CASS specific regulatory change.

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