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Beyond the Market Abuse Regime

  • King Edward Hall - Bank of America Merrill Lynch 2 King Edward Street London, England, EC1A 1HQ United Kingdom (map)

Mark Goulden, Global Head of Markets Compliance, Deutsche Bank and
SHCOG Chairman

Rob Moulton, Partner, Latham Watkins
Jon Holland, Partner, Latham Watkins

The discussion will cover:
MAR is complicated enough, but focusing on only one aspect of a MAR problem can sometimes makes the situation worse, good MAR management may also involve considerations of:

  • Competition law

  • Systems and controls

  • Culture and conduct

  • Management responsibility

In an environment in which global regulators and law enforcement agencies have become both more assertive and better coordinated and law and regulation is increasingly more complex, Compliance Officers need to be aware this session will identify the key MAR risks, the common pitfalls when issues arise, and suggest practical ways of avoiding them.