Bovill briefing | Trading controls – are yours up to scratch? | London | Event date: Thursday 18 October 2018
Looking at the post MiFID II ‘to do’ list, the chances are that MAR – the Market Abuse Regulation – hasn’t got the attention it should have. Many firms may find they’re falling short when it comes to detecting and preventing market abuse.
The relationship between market abuse and financial crime is under scrutiny from the regulator, in particular controls around trading. And firms are increasingly expected to go the extra mile by signing up to industry codes to show proper standards of market conduct.
The FCA wants to see a more rounded approach to managing trading systems and controls rather than simply meeting the requirements of MAR. Our October briefing helped attendees understand the broader context and what the regulator is looking for. We covered:
- the FCA’s current review of PA Dealing systems and other thematic work
- the FCA’s proposed guidance on financial crime in relation to the cross-over between market abuse and money laundering controls
- a deep dive into the FCA’s recognition of industry codes, and in particular the FX Global Code.
To find out more information about any of the topics covered or to request a copy of the slides please get in touch at email@example.com.
Bookings are closed for this event.