On 20 October, the European Commission finally published its proposals to reform the EU's MiFID and market abuse regimes. This legislation has already proved highly controversial with radical extensions to the existing directives and two new, directly applicable, regulations.
At this seminar, we will provide an overview of the reforms concentrating on the practical implications for firms and the major changes. Our briefing will be relevant to investment firms, banks, exchanges, commodity firms and a broad range of firms subject to market abuse compliance. It is aimed at general counsel, compliance and risk departments and senior executives.
Topics
The speakers will cover:
- extending the scope of MiFID regulation - structured products, emissions allowances, commodity dealers, organised trading facilities (OTFs);
- tougher COB requirements, extending current standards and new obligations for non-client transactions;
- tougher prudential requirements, including directors' duties, diversity and directorship limits;
- the radical extension of MAD to cover MTFs and OTFs;
- swingeing penalties and new powers;
- OTC derivative reforms.
Please note that registration and breakfast is at 8.30. To register for this seminar - please RSVP here. |