Ελληνικά 
English
Unveiling Market Abuse Fundamentals & Trade Surveillance
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά
Αγγλικά
5 ώρες
(
1 ημέρα
)
ΠΕΡΙΓΡΑΦΗ
Market Abuse is a regulatory offense that encompasses various illicit activities aimed at manipulating financial markets for personal gain, as well as undermining the fairness and efficiency of financial markets, posing a threat to the overall stability of the economy.
Market Abuse framework comprises from (i) Regulation No 596/2014 on market abuse (MAR), repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC and (ii) Directive 2014/57/EU on criminal sanctions for market abuse (CS MAD), was entered into effect as from 3 July 2016.
Market Abuse framework is a European Union legislative framework and aims to ensure the fairness and stability of financial markets as well as to create a level playing field for all economic operators in the Member States as part of the effort to combat market abuse.
Market Abuse framework merely consists of insider dealing, unlawful disclosure of inside information, and market manipulation.
Regulatory authorities across EU enforce strict rules and regulations and put significant emphasis on their monitoring role in an effort to combat market abuse and protect market participants. Through surveillance and investigation, regulatory authorities strive to identify and prosecute individuals engaged in market abuse activities.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
By the end of the programme participants will:
- Understand the concept of market abuse and its different components
- Understand the Market Manipulation practices
- Know the risk deriving from unlawful actions
- Recognise the types of behaviour classed as market abuse
- Observe the market rules in relation to insider lists, disclosure of managers’ deals, research disclosures and safe harbours
- Understand trade surveillance rules and practices for implementation
- Know when and how to report suspicious transactions and blow the whistle
- Understand the MAR disclosure requirements
- Become familiar with MAR challenges and understand CySEC expectations
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
The programme is ideal for financial service professionals at banking and investment level, as well as financial service providers and/or advisors:
- Managers / Senior Managers
- Compliance Officers / Legal Officers
- Front-line professionals
- Internal Auditors
- Any person who provides investment services
- External auditors, lawyers and consultants
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
Market Abuse Regulation (Regulation 596/2014) (MAR)
- General Provisions
- Inside information, insider dealing, unlawful disclosure of inside information and market manipulation
- Disclosure requirements
- ESMA and Competent Authorities
- Administrative measures and sanctions
- Delegated acts and Implementing acts
- Annex I on the indicators of manipulative behaviour
Directive 2014/57/EU (CSMAD) / Market Abuse Law L.102(Ι)/
- Overview
- Insider dealing and market manipulation
- Administrative measures and sanctions under the regulation
ESMA’s Report on administrative and criminal sanctions under MAR
- Sanctions and measures imposed under MAR
MAR Guidelines Persons receiving / sending market soundings
- Compliance and reporting obligations
- Guidelines for persons receiving market soundings
Managers’ transactions
- Disclosures to issuer’s website and CySEC notification
- Monitoring and prohibitions
Trade Surveillance and Market abuse in practice
- Practical review of a solution for surveillance
- Ensuring that necessary updates are applied on time
- Getting the Compliance help and advice from your vendor
- Market Abuse strategies i) Front Running, ii) Quote Stuffing, iii) Ping Orders iv) Spoofing, v) Wash trading vi) Pump and dump
Training Style
The training style will include the presentation of all the material using slides and handouts. The trainer will use practical examples to elaborate various concepts and encourage class discussion.
Participants will engage in exchange of ideas and sharing of knowledge on the subject matter. Participants will also be able to ask questions and obtain clarifications from the trainer on the material covered.
Participants will have the opportunity to benchmark experiences with industry peers and raise issues of most concern to their organisation, either confidentially or in open session in a Q&A Session.
CPD Recognition
This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Πληροφορίες Εκπαιδευτή
Αντώνης Χατζηκώστας - Head of Regulatory Compliance at a Systemic Financial Institution
Antonis is a passionate and highly experienced professional, who brings over 15 years of practical experience in the areas of banking, investment, and insurance services industry, particularly in regulatory compliance. His expertise includes among others, Credit Granting and Arrears Management frameworks, Payment Systems, MiFID II, IDD, FATCA/CRS, DAC6, Solvency II, and ESG. Antonis commenced his career at HSBC Greece in 2007 before transitioning to PwC Cyprus in 2010. During his time at PwC, he became a qualified Chartered Accountant of the ICAEW and successfully managed a significant portfolio of clients in the financial and insurance sectors, both locally and internationally. Since 2019, Antonis has been leading the Regulatory Compliance team at a systemic financial institution in Cyprus, servicing also as an Interim Chief Compliance Officer for a short period of time. As a trainer, Antonis specialises in designing training programs to meet individual learning styles while fostering a supportive and inclusive learning environment. His wider experience across regulatory compliance, interaction with regulators and industry experts, as well as his ability to adapt training methods to diverse audiences, set Antonis apart in the field. As of April 2024, Antonis is a Founding Member and assumes role of Vice-Chairperson at the Cyprus Compliance Association (CCA) Board of Directors. Antonis holds a BSc and an MSc from Aristotle University of Thessaloniki in Mathematics, Statistics, and Operational Research. He is a fellow member of the Institute of Chartered Accountants in England and Wales (ICAEW), a member of ICPAC (Institute of Certified Public Accountants of Cyprus), a member of the Mediators on Commercial Disputes under the Ministry of Justice, as well as professional member (MiCA) of the International Compliance Association (ICA).
Αναλυτικό Κόστος Σεμιναρίου
- € 200.00
- € 0.00
- € 38.00
- € 200.00
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Τρίτη - 03 Δεκ 2024
Ώρα
09:00 - 15:00
ΕΚΠΑΙΔΕΥΤΗΣ:
Αντώνης ΧατζηκώσταςΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : Unveiling Market Abuse Fundamentals & Trade Surveillance
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