About the 2019 seminar:
AFME was pleased to have invited their members to attend an address on the Implementation of the Market Abuse Regulation in the U.K. by Julia Hoggett, Director of Market Oversight at the Financial Conduct Authority, which took place Wednesday 13 February 2019 in London.
This session was an opportunity to hear the views of the Financial Conduct Authority on the Implementation of the Market Abuse Regulation; key current priorities and areas of focus for the Market Oversight team; and areas that firms should focus on as they review and assess their market abuse systems and controls. The topics covered included:
- How firms ensure inside information is kept secure (across both internal and external walls)
- Private side firm information management, access control and surveillance capabilities and the quality of controls
- FCA views regarding market behaviours that may undermine market integrity
- Commentary on surveillance capabilities observed and areas requiring focus
- A forward-looking consideration of how market abuse risks may evolve
This event was aimed at both private and public side front office, business management teams, operations and compliance officers within AFME member firms.