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Infoline Conferences Ltd

Effectively Managing & Monitoring Trading Controls & Compliance
Date: 20 May 2009
Location: London
Address: Venue address:
The Hatton
51-53 Hatton Garden
London
EC1N 8HN
Event Description: With speakers from DLA PIPER, HERBERT SMITH LLP, ERNST & YOUNG, INVESTEC BANK, KINETIC PARTNERS.
You will hear issue such as:

FSA Supervision & Enforcement: Lessons to be Learned from Recent FSA Action in the Trading Environment
• Overview of recent FSA supervision and enforcement activity
• Focus on criminal prosecutions
• Short selling measures
• FSA’s review of firms’ policies on rumours
• Possible future trends in supervision and enforcement

Trading Regulation Update: Examining the Latest Developments & Practice
• Market Abuse - how are the measures being applied and potential new candidates?
• Short Selling Measures - what are the intended and unintended effects?
• Money Laundering and Fraud - new risks in the business climate?
• The importance of systems, controls and management information

Control Framework: Developing an Effective Model for Preventing Market Misconduct
• Identify risks of market misconduct in your firm
• Determine appropriate systems and controls for insider information and transactions
• Monitor effectiveness of control framework
• Training and awareness of policies and procedures

Best Practice Approaches to: Control Insider Information & Prevent Market Manipulation
• Current market developments
• Approaches to control inside information and transactions
• What incentives can be offered to prevent market misconduct
• Trends in data security
• Comparing regulation and guidelines of UK, EU and US

Recent Comments from delegates attending Infoline's Trading, Control and Compliance events in the past.
“Very useful and timely conference which gave honest and specific insight into requirements.”
INVESTEC

“The event was well organised and delivered the objectives I was expecting.”
MAN INVESTMENTS

“I found this both informative and beneficial. Certainly thought provoking.”
BANK OF SCOTLAND
Event Brochure: Click here to download
Contact: Tel: +44 (0)20 7017 7702
Fax: +44 (0)20 7017 7881
Email: custserv@infoline.org.uk
web: www.infoline.org.uk/tradingcontrols
Website: www.infoline.org.uk
 
 
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