Market Abuse and Surveillance: A Discussion With the FCA

Join Duff & Phelps for a webcast on June 4 where we will be joined by Simon Hargreaves, Head of Secondary Market Oversight at the Financial Conduct Authority (FCA), to discuss monitoring for market abuse amid the current COVID-19 outbreak. Simon will discuss surveillance and monitoring the secondary market and describe some of the challenges for firms.

Register now.

Schedule: 11:00 a.m. – 11:45 a.m. (BST)

Key Areas of Discussion

• Oversight and support of staff working flexibly
• The impact of market volatility on surveillance for insider dealing and market manipulation
• Surveillance amid COVID-19 
• What does the future look like for the next phase of this crisis and beyond? 

This session is suitable for compliance and surveillance personnel in a wide range of regulated firms, sell-side, buy-side and trading venues.  

Speakers

• Simon Hargreaves, Head of Secondary Market Oversight, Financial Conduct Authority
• Nick Bayley, Managing Director, Financial Services Compliance and Regulation, Duff & Phelps