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.
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.