Market Abuse Breakfast Briefing Report

Market Abuse Breakfast Briefing Report - Achieving Compliance in a Changing Regulatory Landscape
Report prepared by Business Systems (UK) Ltd –
Available here for download >

With the ever-changing financial regulatory environment and the rise in fines being issued by the FSA (£90m fines were issued in 2010 alone), firms face increasing pressure when striving to achieve compliance in the realm of market abuse.

This report is a summary of the key points highlighted at a recent industry briefing, featuring commentary from Ian Mason, Partner at Baker & McKenzie LLP and ex-Head of Department in the FSA's Enforcement and Financial Crime Division.

Content Covers:
- FSA powers past and present
- FSA fining policy
- Transaction Reporting and Suspicious Transaction Reporting
- Where compliance meets technology
- Multifaceted trading surveillance
- Culture and training
- The changing regulatory landscape

Intended Audience:
- Financial Services firms:
    * Compliance Officers, Managers & Directors
    * Heads/Managers of IT and Trading
    * Consultants & Procurement Specialists in the areas outlined above.

Download your complimentary copy here >

Click here for further information on Market Detect trading surveillance technology.