Assess the impact and scope of:

• Recent FSA Enforcement Action in the trading environment
• Post Trade Reporting and Transparency at the EU Level
• Potential future scope of the MIFID Review

Benchmark your approach to:

• Management Information optimisation for Evidencing Compliance
• Monitoring and evidencing Best Execution
• Identifying Transaction Reporting Responsibilities and Challenges

Gain practical insights into:

• Control Frameworks for Preventing Market Misconduct
• Effective Oversight and Control policies
• Investment Portfolio Management Exemption

View the latest Trading Controls Compliance Agenda here

Participants will be able to benchmark their approach to emerging best practice to ensure that their systems and controls are adequate in order to avoid market mis-conduct and damaging regulatory enforcement action

Attending this workshop will enable delegates to:

• Discover best practices for transaction reporting
• Avoid typical transaction reporting issues
• Tighten SYSC processes and procedures
• Evidence best execution
• Successfully manage an outsourced transaction reporting relationship