MAD 2 MAR (MARKET ABUSE)
COMPLIANCE AND TECHNOLOGY
27TH FEBRUARY 2019
THE TRAINING COURSE
The new ‘MAD 2 MAR Compliance and Technology’ training course is an absolute must for banking and financial services compliance professionals. It will provide attendees with highly comprehensive training covering the Market Abuse Directive (MAD 2), Market Abuse Regulation (MAR), identifying and detecting a broad range of market abuse behaviours, and how to implement effective market abuse compliance programmes. It will also showcase a range of market abuse technologies in order to allow firms who are thinking about implementing new market abuse technologies to evaluate existing market offerings.
ADVANCED knowledge and
understanding of key operational areas & compliance functions affected by MAD 2 & MAR (substantive obligations, sanctions, offences, STOR, accepted market practices, market soundings).
COMPREHENSIVE training course presentations and documentation and training course materials.
PRE-COURSE QUESTIONNAIRE to identify attendee's key objectives.
POST-COURSE Expert Trainer follow-up to ensure all key Training Course objectives have been met.
THE TRAINING COURSE can contribute to an individual's annual CPD requirements.
MODULE 1: THE MAD 2 MAR FRAMEWORKS - PART I
• Key MAD 2 MAR Aims, Objectives, and Timelines, Operational Impact, New Strategic Firm Approaches.
• MAD 2 Substantive Operational Framework
(New Obligations, Criminal Penalties and Sanctions).
• MAR Substantive Operational Framework
(New Financial Instruments covered, Whistleblowing Obligations)
• Cross-Border Enforcement of Market Abuse and Enforcement Trends.
MODULE 2: THE MAD 2 MAR FRAMEWORKS - PART II
• Buy-Back Programmes (BBPs) and Stabilisation Measures (Trading in Own Shares, Stabilisation of Securities, Level II Regulatory Technical Standard (RTS) Compliance).
• Accepted Market Practices (AMP) (Legitimate Reasons, AMP Criteria, Level II RTS Compliance).
• Suspicious Transaction and Order (STOR) Reporting (Reports, New Obligations, Level II RTS Compliance).
• Market Abuse Exemptions, Powers, and Sanctions.
MODULE 3: MAD 2 MAR OPERATIONAL COMPLIANCE
• A Review of Market Abuse Civil and Criminal Offences, and the Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016.
• Identifying and Detecting a Broad Range of Market Abuse Behaviours.
• Implementing Effective and Proportional Market Abuse Compliance Programmes.
• Analysis of a Range of Market Abuse and Insider Dealing Case Studies.
MODULE 4: MAD 2 MAR TECHNOLOGIES
•A Review of Cytec Solutions Insidertrack
(maintaining insider lists, managing communications, intelligent routines, on-demand reporting, publication of project lists, audit trailing, access controls).
• A Review of Aquis Technologies Acquis Market Surveillance (real-time trade supervision, market abuse detection, case-management compliance, market abuse indicators, order book replay, multi-asset class).
Rodrigo Zepeda is Co-Founder and Managing Director of Storm-7 Consulting. He is an expert consultant who specialises in derivatives and banking and financial services law, regulation, and compliance. He is an expert in a very broad range of regulatory compliance frameworks such as FATCA, the OECD CRS, MiFID II, MAD 2 MAR, PSD2, CRD IV, Solvency II, OTC Derivatives, CCP Clearing, PRIIPs, BRRD, AML4, and the GDPR. He holds a LLB degree, a LLM Masters degree in International and Comparative Business Law, and has passed the New York Bar Examination. He was an Associate (ACSI) of the Chartered Institute for Securities & Investment from 2004 to 2014 and is now a Chartered Member (MCSI). He has created and delivered numerous conferences and training courses around the world such as 'FATCA for Latin American Firms' (Santo Domingo, Dominican Republic, Panama City, Panama), 'MiFID II: Regulatory, Risk, and Compliance (London), and 'Market Abuse: Operational Compliance' (London), 'AEOI (FATCA & CRS)' (Manama, Bahrain). He has also delivered numerous In-House Training Courses around the world to major international financial institutions such as The Abu Dhabi Investment Authority (MiFID II: Operational Compliance, Abu Dhabi, the United Arab Emirates), the United Nations Principles of Responsible Investment (MiFID II: Final Review, London), CAF, the Development Bank of Latin America (Swaps and Over-the-counter Derivatives, Lima, Peru), Rothschild Investment Management (UK) Limited (AEOI (FATCA & CRS), London) and Bethmann Bank AG (MAD 2 MAR, Frankfurt). He is a Reviewer for the Journal of Financial Regulation and Compliance and has also published widely in leading industry journals such as the Capco Institute's Journal of Financial Transformation, the Journal of International Banking Law and Regulation, as well as e-books on derivatives law. Noted publications include "Optimizing Risk Allocation for CCPs under the European Market Infrastructure Regulation"; "The ISDA Master Agreement 2012: A Missed Opportunity"; "The ISDA Master Agreement: The Derivatives Risk Management Tool of the 21st Century?"; "To EU, or not to EU: that is the AIFMD question"; and "The Industrialization Blueprint: Re-Engineering the Future of Banking and Financial Services?".