Programme
This course concerns a 1-day online workshop covering the following topics:
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- Market regulations
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- Market integrity
- Transparency
- AML & ATF policies
- Anti-bribery and corruption
- Anti-market abuse policies
- Import & export restrictions
- Trade sanctions & embargoes
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- Trade compliance
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- Compliancy framework
- Policies/procedures
- Compliance to market-related regulations
- Shielding the employer
- Protecting the employees
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- Sanctioning
- Administrative sanctions
- Criminal sanctions
- Sanctions by trading venues (disciplinary actions)
- Self-incrimination
- Whistleblowing
- Anti-retaliation policy
- Reputational risk
- Sanctioning
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- Reputational risk management
- Naming & shaming
- Harming the brand
- Market integrity
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