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Trading and Compliance: EU Regulatory Developments and Trading on EU

15 January 2013
Presenters: Philip J. Morgan

On Tuesday, 15 January 2013, our Investment Management partners, Sean Donovan-Smith and Philip Morgan, presented a seminar on "Trading and Compliance: EU Regulatory Developments and Trading on EU Markets" concerning pre- and post-trade regulatory compliance issues covering recent EU regulatory developments that affect trading on EU markets.

Topics included:

  • Practical Issues with the EU's Short Selling Regime
  • Update on Transaction Reporting Issues under MiFID and EMIR and incorporating Lessons from relevant FSA Enforcement actions
  • Implementing Restrictions on Computer Based Trading Strategies
  • Update on the FSA's Approach to Order Allocation and Trading Errors
  • What's Next on the Regulatory Horizon in 2013?
  • This recording will be of particular interest to senior managers and legal and compliance personnel in investment managers, proprietary traders and broker-dealers.

During the presentation, Philip made reference to an interesting speech by David Lawton, Director of Markets, FSA at the Tradetech Conference on the practical steps firms might want to take to deal with the European Market Infrastructure Regulation (EMIR).

Click here to watch the webinar recording.