Market Abuse - Detection and Reporting of suspicious orders and transactions (STOR)
Arendt Follow
Objectives
The objectives of this training module are:
To understand the exact scope of the obligation to detect and to report STORs;
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.
Speaker
François Warken (Partner, Capital Markets, Arendt & Medernach).
Target Group
Professionals in charge of administration, legal and compliance functions in financial institutions, other professionals of the financial sector.
Organizer
Arendt House
Where does it take place?
Arendt House
41a Avenue John F. Kennedy
Luxembourg
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