Part 1 of 2 - Market Abuse - Detecting and Reporting Suspicious Orders and Transactions
Objectives
The objectives of this hybrid session are:
to understand the exact scope of the obligation to detect and to report STORs;
to recognise market abuse;
to understand what arrangements, systems and procedures the professional is expected to establish;
to learn about how to properly discharge the obligation to detect and to report STORs.
Content
The presentation will cover in particular the following topics:
Who is subject to the obligation to detect and to report STORs?
Relevant behaviours to be detected and reported;
Maintaining effective arrangements, systems and procedures;
What is a reasonable suspicion?
A priori verification or a posteriori verification?
Practical considerations - who, how, when?
Case studies and real-life examples;
STOR and money laundry suspicion;
Q&A session.
Good to know
Target group
Professionals in charge of administrative, legal and compliance functions in financial institutions, other professionals of the financial sector.
Duration
4 hours (spread over 2 training dates, second date February 8).
English language
Where does it take place?
Arendt House
41a Avenue John F. Kennedy
Luxembourg
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