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A Market Abuse Framework – What’s in the Toolbox?

July 9, 2020 @ 4:00 pm - 5:00 pm

Conduct and culture are a key focus for the FCA.   Despite current work from home arrangements, the FCA has made it very clear that firms are expected to continue to meet all their regulatory obligations, including the prevention and detection of market abuse.  This seminar will provide an overview of the components of a market abuse framework.


Agenda for this round table:

  • Designing and implementing an appropriate governance framework
  • Conducting a Market abuse risk assessment
  • Quantifying your risks
  • Systems and controls
  • Training & awareness

This presentation will be made by Kevin Taylor and David McClean of 3 Lines of Defence Consulting Limited.

Kevin is an ex-regulator and Chief Compliance Officer.  He has been involved with a number of market abuse remediation projects, reviews and understands the needs and expectations of regulators.

David is a Chartered Financial Analyst with over 35 years of Front Office experience in financial markets, working for investment banks and investment management firms, and most recently in his role for the FICC Markets Standards Board.

If you would like to attend this video conference please email: events@thebrokerclub.org


July 9, 2020
4:00 pm - 5:00 pm



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