Recorded Webinar: Best practices for compliance with EU Market Abuse Regulation
EU Market Abuse Regulation (MAR) came into force in July 2016, rescinding the previous Market Abuse Directive and replacing it with a significantly extended scope of regulatory obligations. Eight years later, and amid constant change in capital markets regulation, technology and culture, financial institutions continue to struggle to stay on the right side of the regulation – falling on the wrong side can be hugely expensive in terms of both financial penalties and reputational damage.
This webinar will highlight the evolving challenges presented by MAR as technologies such as machine learning, AI and generative AI come into play, bad actors become increasingly sophisticated, and legacy systems prove inadequate to meet today’s requirements. Moving on, it will discuss best practice approaches to compliance, provide practical guidance on selecting and implementing solutions, and review the role of emerging technologies in averting market abuse.
Listen to the webinar to find out about:
- Evolving requirements and challenges of Market Abuse Regulation
- Best practice approaches to comprehensive compliance
- Why now is the time to invest in skills and solutions
- Guidance on how to select and implement appropriate software
- How to optimise compliance using emerging technologies
- Benefits of getting it right, penalties of getting it wrong
Speakers:
More about our speakers:
Jason Shiu
Senior Market Abuse Surveillance Specialist
Vanguard Asset Management Ltd
Jason Shiu is a Senior Market Abuse Surveillance Specialist at Vanguard Asset Management within the Compliance division. He has multiple years of experience working in various aspects of surveillance using a range of platforms and monitoring tools within trade surveillance to the e-communications space. Prior to Vanguard, Jason worked as a Senior Compliance Officer at GAM Investments and before that worked at Eaton Vance Investment Management. He has completed a Legal Practice Course with an MSc in Law, Business and Management from the University of Law and graduated with a LLB Law degree from the University of Birmingham.
Katharine Leaman
CEO
Leaman Crellin Limited
Financial services veteran Katharine brings a unique, well-rounded perspective to the world of financial regulation. Her impressive career spans investment advice, policymaking at the UK’s FCA (formerly FSA), and leading regulatory compliance at Standard Chartered Bank. This diverse experience on all sides of the regulatory landscape – advisor, regulator, and compliance – equips her with an invaluable understanding of market abuse and its practical implications.
A sought-after speaker known for her engaging style, Katharine transforms complex regulations into actionable insights for compliance professionals at all levels, from Csuite executives to front-office teams. With over 30 years in financial services across insurance, investment, and banking, her expertise encompasses technical areas like Market Abuse, CASS, SMCR, and Outsourcing, as well as broader topics such as market conduct, operational resilience, and consumer duty.
Shaun Hurst
EMEA Principal Regulatory Advisor
Smarsh
Shaun Hurst is Smarsh’s Principal Regulatory Advisor. With over 20 years of experience in solving intricate IT issues for Financial Services Institutions, he is a specialist in Regulatory Requirements, Data Privacy, eDiscovery, Compliance, and Cloud Computing. Shaun’s 15-year tenure at one of the largest American banks gives him unparalleled insight into the challenges our customers encounter.
Dermot Harriss
Senior Vice President – Regulatory Solutions
OneTick
Dermot Harriss joined OneMarketData in 2015, and is responsible for delivering solutions that help firms meet their regulatory compliance needs. Mr. Harriss brings over twenty years of financial industry experience from roles involving futures trading, quantitative strategy development, derivatives risk management, program trading, execution services, and technology management.
Sponsors
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