Regulators in the US, Europe and the UK are keeping a close eye on the activities of financial services firms and their employees to detect market abuse, including insider dealing, unlawful disclosure of insider information and market manipulation.
These recent fines serve as a warning that firms must review their policies and procedures around trade surveillance, management of Material Non-Public Information (MNPI) and record keeping.
Join MCO and Katharine Leaman, Managing Director at Leaman Crellin, to learn more about current market abuse enforcement trends plus guidance on where compliance should focus in 2023, including:
There will be plenty of opportunities for Q&A, so please let us know your questions when you register.
Time : 10AM EST/3PM GMT
Katharine is a regulatory compliance consultant within Leaman Crellin Limited with a background in both professional practice and the financial services industry. With over thirty years of experience in regulatory risk and governance within the banking, insurance, and distribution, financial services industries, including the FCA. She is a highly experienced compliance expert with an executive leadership background experienced in running compliance functions in banks and dealing with FCA requests and supporting banks in remediating issues identified by the regulators.