Compliance Pro: Capital Markets

Best practice processes and cutting edge technologies to mitigate operational and reputational risk and ensure compliance throughout the financial sector

Why Compliance Pro: Capital Markets?  Why now?

Beyond Regulation – Beyond Strategy – Beyond Market Surveillance:

Your Independent Strategy Platform for CCOs - Compliance Pro: Capital Markets 2013

Compliance Pro: Capital Markets will create a trusted environment for discussion, bringing together Chief Compliance Officers and Heads of Compliance/Surveillance from the international financial services industry to share lessons learned and best practice to overcome tomorrow’s strategic challenges. This will be a unique opportunity to meet and exchange practical experience with regulators and senior peers.

Faced by a regulatory tsunami and rising internal and external requirements the role of the Chief Compliance Officer (CCO) in Financial Institutions is evolving from the fire brigade to a strategic leader position! The latest scandals in the financial services industry on market manipulation and insider dealing have destroyed corporate value and customer’s faith in the whole banking system.

To avoid the next scandal it is the CCO who is now in charge by creating a successful and reliable corporate culture of compliance to reduce risks, minimise reputational damage and support business. He must meet evolving regulatory requirements, he must get prepared in time by implementing a corporate regulatory strategy and by successfully monitoring potential market abuse across all trading venues and asset classes to meet market conduct rules.

5 Reasons to Attend

Key Agenda Highlights

• Getting Clarity on Rising Regulation
Get first hand clarity from European Regulators on Market Abuse, ESMA guidelines and Short Selling to set up your regulatory action plan and to resist the “regulatory tsunami”
• Tackling the Strategic Challenges
Mapping the changing landscape and tackling the strategic internal and external challenges for chief compliance officers in financial institutions to build up a long-term strategy
• Detecting manipulative behaviour across asset classes
Implement successfully a real cross asset class surveillance to detect highly complex and manipulative activities, insider dealing and cross border manipulation
• Analysing Algo Trading and HFT patterns
Keep pace with rising speed and volume through Algo and High Frequency Trading in your trading department to detect infringements rapidly