活动类型: 继续法律教育（CLE）或继续专业发展（CPD）
- 地点名称:
- Reed Smith London Office, The Broadgate Tower, 20 Primrose Street, London EC2A 2RS
- 开始日期／时间:
- 23 June 2015, 8:30 AM BST
- 结束日期／时间:
- 23 June 2015, 11:30 AM BST
Reed Smith’s Financial Markets & Regulatory Group is hosting a seminar addressing the new market abuse regulatory environment for firms at the London office on Tuesday 23 June.
Investigations and enforcement activity are more common now than ever before (often on a multi-agency, multi-jurisdictional basis). When an enforcement issue arises, what are the key things to do and not do? How can you mitigate risks when you are facing the threat of enforcement action?
Meantime the rules of engagement in financial and commodities markets are being rewritten at a European level (with MAR/CSMAD, REMIT and the EU Benchmark Regulation) and in the UK (with the Financial Services Act 2012, the HMT Fair and Effective Markets Review and the FCA’s policy focus on culture and conduct). How should firms plan for the future? What systems will firms need in the future to demonstrate compliance?
The seminar will include practical scenarios designed to highlight concerns in investigations for market abuse and under related EU/UK regulation.
Timings:
- 08.30 - Registration and refreshments.
- 09.00 - Seminar starts.
- 11.30 - Close.
For further information or to register please email the events team.