Programme

This course concerns a 1-day online workshop covering the following topics:

• • Market regulations

• • • Market integrity
    • Transparency
    • AML & ATF policies
    • Anti-bribery and corruption
    • Anti-market abuse policies
    • Import & export restrictions
    • Trade sanctions & embargoes

• • Trade compliance

• • • Compliancy framework
    • Policies/procedures
    • Compliance to market-related regulations
    • Shielding the employer
    • Protecting the employees

• • Sanctioning
    • Administrative sanctions
    • Criminal sanctions
    • Sanctions by trading venues (disciplinary actions)
    • Self-incrimination
    • Whistleblowing
    • Anti-retaliation policy
  • Reputational risk

• • • Reputational risk management
    • Naming & shaming
    • Harming the brand
    • Market integrity