MAD 2 MAR Compliance and Technology Training Course (2019)

tRAINING COURSE 2019

About the training course ABOUT The new ‘MAD 2 MAR Compliance and Technology’ training course is an absolute must for banking and financial services compliance professionals. It will provide attendees with highly comprehensive training covering the Market Abuse Directive (MAD 2), Market Abuse Regulation (MAR), identifying and detecting a broad range of market abuse behaviours, and how to implement effective market abuse compliance programmes.

It will also showcase a range of market abuse technologies in order to allow firms who are thinking about implementing new market abuse technologies to evaluate existing market offerings.

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Expert Trainer TRAINER Rodrigo Zepeda is Co-Founder and Managing Director of Storm-7 Consulting. He is an expert consultant who specialises in derivatives and banking and financial services law, regulation, and compliance. He is an expert in a very broad range of regulatory compliance frameworks such as the GDPR, FATCA, the OECD CRS, MiFID II, MAD 2 MAR, PSD2, CRD IV, Solvency II, OTC Derivatives, CCP Clearing, PRIIPs, BRRD, and AML4.

He holds a LLB degree, a LLM Masters degree in International and Comparative Business Law, and has passed the New York Bar Examination. He was an Associate (ACSI) of the Chartered Institute for Securities & Investment from 2004 to 2014 and is now a Chartered Member (MCSI). He has created and delivered numerous conferences and training courses around the world such as ‘FATCA for Latin American Firms’ (Santo Domingo, Dominican Republic, Panama City, Panama), ‘MiFID II: Regulatory, Risk, and Compliance (London, United Kingdom (UK)), and ‘Market Abuse: Operational Compliance’ (London, UK).

He has also delivered numerous in-house training Courses around the world to major international financial institutions such as The Abu Dhabi Investment Authority (MiFID II: Operational Compliance, Abu Dhabi, the United Arab Emirates), the United Nations Principles of Responsible Investment (MiFID II: Final Review, London, UK), CAF, the Development Bank of Latin America (Swaps and Over-the-counter Derivatives, Lima, Peru), and Rothschild Investment Management (UK) Limited (AEOI (FATCA & CRS)). He is a Reviewerforthe JournalofFinancial Regulation and Compliance and has alsopublished widely in leading industry journals such as the Capco Institute’s Journal of Financial Transformation, the Journal of International Banking Law and Regulation, as well as e-books on derivatives law.

Noted publications include “Optimizing Risk Allocation for CCPs under the European Market Infrastructure Regulation”; “The ISDA Master Agreement 2012: A Missed Opportunity”; “The ISDA Master Agreement: The Derivatives Risk Management Tool of the 21st Century?”; “To EU, or not to EU: that is the AIFMD question”; and “The Industrialization Blueprint: Re-Engineering the Future of Banking and Financial Services?”.

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TRAINING COURSE SCHEDULE SCHEDULE

MODULE 1: THE MAD 2 MAR FRAMEWORKS PART 1 • Key MAD2MAR aims, objectives and timelines, Operational impact, New strategic firm approaches.

• MAD 2 Substantive Operational Framework (New Obligations, Criminal Penalties and Sanctions • MAR Substantive Operational Framework (New Financial Instruments covered, Whistleblowing Obligations)

MODULE 2: THE MAD 2 MAR FRAMEWORKS PART 2 • Buy-back Programmes (BBPs) and Stabilisation Measures (Trading in Own shares, Stabilisation of Securities, Level 2 Regulatory Technical Standard (RTS) COMPLIANCE).

• Accepted Market Practices (AMP) (Legitimate Reasons, AMP Criteria, Level 2 RTS Compliance).

• Suspicious Transaction and order (STOR) Reporting (Reports, New Obligations, Level 2 RTS Compliance).

MODULE 3: MAD 2 MAR Operational Compliance • Market Abuse Exemptions, Powers and Sanctions.

• A Review of Market Abuse Civil and Criminal Offences, and the Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 • Implementing Effective and Proportional Market Abuse Compliance Programmes.

MODULE 4: MAD 2 MAR CASE STUDIES AND TECHNOLOGIES • Identifying and Detecting a Broad Range of Market Abuse Behaviours.

• Analysis of a Range of Market Abuse and Insider Dealing Case Studies.

• A Review of a Range of Market Abuse and Insider Dealing Technologies.

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key features FEATURES • ADVANCED knowledge and understanding of key operational areas & compliance functions affected by MAD 2 & MAR (substantive obligations, sanctions, offences, STOR, accepted market practices, market soundings).

• COMPREHENSIVE training course presentations and documentation and training course materials.

• PRE-COURSE QUESTIONNAIRE to identify attendee’s key objectives.

• POST-COURSE Expert Trainer follow-up to ensure all key Training Course objectives have been met.

• THE TRAINING COURSE can contribute to an individual’s annual CPD requirements.

For Booking and Enquiries: UK +44(0)20 7846 0076

www.storm-7.com

client.services@storm-7.com

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Course Suitable for: Analysts Dealers Directors Trading Platforms

Emission Allowance Market Participants Compliance Officers and Managers Regulated Stock Exchanges Heads of Risk and Operations In-House Legal Counsel

Issuers Fund Managers Risk Officers and Managers Senior Managers Financial Services Firms

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