This briefing will take place in-person, virtual attendance is not possible

While it has been a perpetual item on any regulator’s agenda, market abuse has again recently risen towards the top of the pile. Previously synonymous with insider trading and an assessment of material non-public information, the current world of market abuse is a multi-faceted area of regulatory concern for managers to deal with. With the inevitable nuances across the various investment sectors managers need to develop controls as opportunistic as the markets they invest in.

In this briefing our experts will:

• Look at recent regulatory insights and lessons learned from enforcements
• Highlight key risk differentiators between the FICC and Equity markets
• Discuss what a “proportionate” level of control and oversight actually looks like
• How a manager can ensure that their surveillance systems actually work

Speakers:

• Tammy Li, Director, Financial Services Compliance and Regulation, Kroll
• Warren Low, Director, Financial Services Compliance and Regulation, Kroll
• Andrew Poole, Director, Financial Services Compliance and Regulation, Kroll

*This briefing is open to Fund Managers only, please email [email protected] for an invite code*