Ways of Detecting and Preventing Market Abuse

Preventing, detecting and punishing market abuse is a high priority for every firm. It protects your clients, enhances the integrity of your firm as it operates in the markets and keeps you in the competition. But how do you detect and prevent market abuse from happening in your organisation which may not have vast resources and big teams dedicated to specific controls? This session from Leaman Crellin Limited will discuss the key controls for detection and prevention of market abuse including surveillance, use of control rooms and whistleblowing.

This is part of a series of round tables on market conduct, in conjunction with Leaman Crellin. If you would like to attend this video conference, or any others in the series please email: events@thebrokerclub.org