Breakfast Briefing Agenda

Breakfast Briefing - Market Abuse & Regulation: Industry Update

Venue: London Capital Club, London, EC4N
Date: Thu 20 May 2010

Following recent statements from the FSA announcing ‘the unacceptably high level of market abuse in the UK’ and subsequent high profile charges brought against city investment bankers for insider dealing, we thought it timely to review the regulation governing this area.

This complimentary breakfast briefing brought to you by Business Systems focuses on FSA legislation relating to market abuse and fraud and provides insights into how to satisfy FSA requirements in this area. The session will also provide case study material from WINS Securities on their approach to tackling market abuse following a recent technology implementation.

This briefing is ideally suited to Compliance Officers, Managers & Directors and Heads/Managers of IT and Trading operating within Financial Markets.

08.15 Arrival, Registration & Breakfast

08.45 Chair’s Opening Address - Welcome and purpose of briefing
- Stephen Thurston, Director, Business Systems

08.50 The FSA are baring their teeth – how to avoid getting bitten!
Following an FSA crackdown and commitment to get tougher on market abuse and insider trading, this session reviews existing legislation, speculates on how they may extend their powers further and provides insight on how to conduct internal investigations that will satisfy FSA requirements.
- Chris Brennan, Associate, Barlow, Lyde & Gilbert

09.20 ***WINS Case Study*** - Leveraging technology to detect market abuse
This session identifies how WINS Securities have leveraged the latest enterprise trading surveillance technology to rapidly facilitate internal detection of issues relating to market abuse and fraud.
- Gary Wright, Analyst, B.I.S.S. Research

09.45 Questions & Chair’s Closing Remarks
Opportunity to view Market Detect Trading Surveillance product
- Stephen Thurston, Director, Business Systems

10.00 CLOSE