As an AAR member you receive an exclusive 10% discount.
* Remember to Quote VIP CODE: KM6426AAR *
Trading Controls Compliance
29tht-30th September 2010 • Central London
For latest programme or to register, please visit the website http://www.informaglobalevents.com/KM6426AAR
Key Benefits of Attending Trading Controls Compliance 2010
Assess the impact and scope of:
· Recent FSA Enforcement Action in the trading environment
· Post Trade Reporting and Transparency at the EU Level
· Potential future scope of the MIFID Review
Benchmark your approach to:
· Management Information optimisation for Evidencing Compliance
· Monitoring and evidencing Best Execution
· Identifying Transaction Reporting Responsibilities and Challenges
Gain practical insights into:
· Control Frameworks for Preventing Market Misconduct
· Effective Oversight and Control policies
· Investment Portfolio Management Exemption
Key Speakers include:
Robin Oliver, Head of EMEA Compliance, STATE STREET CORPORATION
Oonagh McKinley-Hutchinson, Compliance Officer, ING COMMERCIAL BANKING
David Ogden, Head of Compliance, SEVEN INVESTMENT MANAGEMENT
Bimal Shah, Head of Compliance, NORTHERN TRUST GLOBAL INVESTORS
Gary Pitts, Chief Compliance Officer, RELIGARE CAPITAL MARKETS
Ian Mason, Partner, BAKER & MCKENZIE Formerly Head of Department , FSA Enforcement
Robert Finney, Partner, DENTON WILDE SAPTE
Simon Appleton, Consultant, KINETIC PARTNERS
Rob Moulton, Partner, NABARRO
PLUS attend our post-conference workshop to receive practical and hands on instruction:
Best Practice Approaches to Transaction Reporting & Market Conduct
30th September 2010, Central London |
