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Market Integrity Compliance and Surveillance in Capital Markets

Developing proactive controls to minimise trading compliance risks

8-9 September 2014
Marriott Marble Arch, London, United Kingdom

Conference Workshop

MiFID II and Regulatory Insights

This workshop will enable participants to learn about the requirements of MiFID II regulations, offer regulatory perspective on these, and how to adapt to the impact these can cause. Delegates will be able to enjoy refreshments and networking opportunities halfway through the session

Workshop Moderator: Rajen Madan

Company: Director - AXIS Corporate, Vartma

Why You Should Attend

Market Integrity Compliance and Surveillance in Capital Markets

Market manipulation is one of the financial industry’s most pressing concerns at the moment, and one only has to look at the high profile rogue trading incidents of the past couple of years or the Libor scandal to see what disregarding proper monitoring and surveillance can do to your business.  The massive fines and reputational damage associated with these incidents is potentially crippling for institutions and Therefore the industry has a vested interest in maintaining market integrity and minimising the risk of market abuse in a trading environment which is growing more complex by the day.

This marcus evans conference will bring together industry leading professionals in compliance, monitoring and surveillance, and regulators to identify the most effective methods to minimise the risk of market abuse.  In depth case studies will offer practical solutions to monitoring opaque products and trades, a demonstration of effective surveillance to catch insider trading, and how to increase transparency across your business.  With regulators also on hand to present their perspective, this is the ultimate opportunity to ensure that your business is fully prepared to manage market integrity in a turbulent time.



Key Topics

  • Discover what market participants need to be doing to preserve market integrity
  • Obtain the latest around the surveillance of electronic communications
  • Benchmark approaches to innovations such as voice surveillance and behavioural analysis
  • Understand what local and international regulators are expecting of market participants and how this will be enforced
  • Hear the latest thinking around benchmark integrity
  • Previous Attendees Include

    BlackRock, Burgundy AB, Centre for Strategic Cyberspace and Security Science, Compliance Risk and Advisory Ltd., ConvergEX Limited, Danish FSA, Erste Group Bank AG, Flow Traders B.V., FSA, IMC Financial Markets Amsterdam, Gazprom Marketing & Trading Limited, Instinet, Intesa Saopaolo, JP Morgan, Morgan Stanley, Progress Software Corporation, Rabobank International, Renaissance Capital, Shell International Trading and Shipping Company Ltd., TABB Group, Troika Dialog, UBS Wealth Management, Unicredit SpA, Verbund Trading AG.

    Why Choose marcus evans?

    marcus evans specialises in the research and development of strategic events for senior business executives. From our international network of 63 offices, marcus evans produces over 1000 event days a year on strategic issues in corporate finance, telecommunications, technology, health, transportation, capital markets, human resources and business improvement.

    Above all, marcus evans provides clients with business information and knowledge which enables them to sustain a valuable competitive advantage and makes a positive contribution to their success.

    Practical Insights From

    David Saul
    Director, Head of Monitoring and Surveillance, UK&OSI
    Barclays Wealth and Investment Management

    Ricky Crump
    Head of Monitoring and Surveillance
    VTB Capital

    Will Dennis
    Managing Director - Compliance

    Victoria Powell
    Policy Director, Capital Markets

    Nneka Ihonor
    Director, Regulatory Compliance
    Credit Agricole Corporate and Investment Bank

    Pierpaolo Monti
    Head of Compliance – Divisione CIB
    Intesa Sanpaolo

    Peter Simai
    Head of Compliance

    Werner Schorn
    Head of Group Securities Compliance
    Erste Group Bank AG

    Click Here For Full Agenda

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    Event Contact

    For all enquiries regarding speaking, sponsoring and attending this conference contact:

    Veronika Sapronova

    101 Finsbury Pavement
    EC2A 1ER

    +44 (0)20 3002 3435
    Fax: +44 (0)20 3002 3016