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Financial Crime: Preventing Market Abuse

ON DEMAND

Effective management of market abuse protects investors, maintains a level playing field and ensures that markets operate efficiently.  It also upholds the reputation of the financial markets, ensuring that they operate as a reliable means to raise capital.

Tune in on demand to learn some key tactics for managing your Financial Crime Risks.

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In this webinar, Ruleguard explores the topic of market abuse by looking at the rules, requirements, and developments.  We often think of market abuse in terms of rogue traders, but the term covers a multitude of sins.

Watch on demand, as we discuss the following aspects:

  • Defining market abuse
  • Global regulatory themes and case studies
  • Critical actions for firm
  • Personal conduct and integrity
  • Ruleguard’s approach to managing PA Dealing

Ruleguard’s Platform Director also shares his insights on how Ruleguard’s Personal Account Dealing can help regulated firms stay ahead of the game. 

We welcome you to read our recent blog on the FCA’s priorities for 2024 and 2025, of which, financial crime is a key regulatory focus. 

 

A fully auditable view of employee trading

Demystify the FCA's COBS, MAR and MiFIR rules, and ensure your firm's employees are transparent, conflict-free, and aligned with market integrity principles. 

Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

Priscilla is a former consultant, CCO and MLRO, experienced in providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Matthew Bruce

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years of experience in software development and has worked on Ruleguard since its launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.