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FCA Compliance to Market Abuse Regulation: Identifying conflicts to prevent market abuse

MCO has partnered with CeFPro to deliver a complimentary Webinar to discuss FCA compliance to Market Abuse Regulation: Identifying conflicts to prevent market abuse.

The FCA MAR states that firms must take all appropriate steps to identify and prevent or manage conflicts of interest between the firm’s employees, managers, and clients. The regulation was created to make financial markets safer and transparent and further maintain market integrity, increase investor protection and encourage global cooperation.

In this webinar, we will discuss the FCA expectations on the management of conflicts of interest on how compliance can be enhanced to prevent insider dealing, misuse of MNPI, personal account dealing, and illegal short-selling with better systems and controls.

Key agenda topics include:

• Identifying and Preventing Conflicts of Interest
• Types of Conflicts and real cases example
• Identification and Disclosure of Insider Information
• Personal Account Dealing and PAD policy under FCA Rules
• Pressure from the FCA to manage PAD in practise.
• Practical challenges

Q&A Session with our experts Keith Pyke, Sophie Dupre-Echeverria and William Yonge

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Sophie Dupre-Echeverria
Chief Risk & Compliance Officer, Gulf International Bank

Head of Risk & Compliance experienced in quantitative, operational and regulatory risk management, internal audit and governance. Worked in Corporate Banking, Private Banking and Asset Management and acquired good product knowledge in all asset classes (Equities, Fixed Income, Multi-Asset and Alternatives). Regular exposure to Senior Management at Board level. Self-starter, resilient in difficult situations and driven to see projects through despite challenges. Perceived by colleagues as well organized, thorough and quality-orientated. Trusted adviser of the Business, relied upon for good and independent judgment. Passionate people manager, leader and diversity & integration advocate.

William Yonge
Partner in Financial Services, Morgan Lewis

William Yonge has more than 20 years’ experience advising global clients on regulation and related commercial issues arising in the financial services, investment management, securities, and derivatives sectors. Clients include asset managers across a wide range of asset classes and their funds, broker-dealers, corporate financiers, fintech and payment services firms, institutional investors, and market associations. Prior to entering private practice, he served as an in-house lawyer at the Securities and Investment Board (now the Financial Conduct Authority) and the Investment Management Regulatory Organisation.