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Understanding the regulatory landscape to avoid issues down the line

todayOctober 1, 2020

Background

Recorded live at ComRisk 2020 – our panel discusses:

  • MAR, MIFID, EMIR; the financial regulations that apply to commodity trading
  • Defining abuse
  • Bringing order in your own house:
  • Putting the appropriate internal controls in place
  • Management oversight
  • Segregation of duties: Who’s doing what?
  • What can we learn from the cases in the financial sector?
  • Moving beyond trade and order surveillance

DIARMUID O’HEGARTY, Compliance Director, ADM INVESTOR SERVICES INTERNATIONAL LTD.
AVIV HANDLER, Managing Director, ETR ADVISORY
ALEXANDER CULLEY, Chief Compliance Officer EMEA & Asia, STONEX

Written by: Commodities People


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