27th March 2019 – Market Abuse: Trade Surveillance Workshop
Time: 1:30pm to 4:30pm
Cost: £399 + VAT
Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR
This workshop will demonstrate how an asset manager or trader might seek to make gains or to reduce losses, either personally, for a portfolio, or for another, by breaking the rules set down in MAD.
The workshop will look at each of the areas covered in MAD and put them in to real life situations, including the use of jargon used in front offices and how they are used.
The objectives are to provide delegates with:
- An understanding of how an asset manager/trader could seek to benefit given specific situations.
- Ideas on how trade surveillance and electronic communications can be used in each instance to monitor and control illegal activity.
- An opportunity to benchmark the relevant systems and controls in place at their firm.
- A chance to put questions to an experienced senior executive to enhance your knowledge of what a trader could get up to.
These are the key areas the workshop will seek to cover but flexibility, with topics discussed being driven by the participants is key to value gained from attendance:
- Spoofing and Layering
- Front Running Orders
- Inside Information
- Cartels and Social Media
- Running a Cartel
- Trading at off-market prices
- Hide position
- Side by Side Investments
- Fixing the Rate
- Starting Rumours
- System Errors
This workshop can also take place at your office and be tailored to your specific requirements.
The delegates that will be interested to attend will be those working in Compliance or Internal Audit and the back office (Operations).
If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 7484 3987 or your usual ACA consultant.