Day 1

An introductory explanation of Market Abuse Regulation – EU 596-2014 

 Market Abuse Risk Assessments – Part I 

. Identifying Market Abuse risks based on Trade Surveillance and practical approaches 

. Trades, Orders & Communications – Regulatory requirements

– What they are and how to use them

The role of the compliance Team

 . Case Management Tools & Alert Review 

 . Surveillance Outcomes, including Regulatory Notifications

Enforcements and Prosecutions 

 . Putting Market Abuse and Insider Trading in historic context of Financial Crime  

-  The case of Infinium Trading

Day 2

 Roles and responsibilities in the Surveillance process 

 What are the weaknesses of the Surveillance process?

 . Common practices to ensure high quality surveillance outcomes 

 Market Abuse Risk Assessments – Part II 

 . Demonstrating the extent to which Surveillance mitigates the risk of Market Abuse  

For registrations send email to elias.geagea@arab-exchanges.org or +961 3 107 423

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