Insider Dealing / Insider Trading

- the benefits of an Insider Dealing Tribunal

- The benefits of a Market Misconduct Tribunal

- The risks of outsourcing and how to manage those risks

- insider dealing risks in IPOs and how to address those risks.

Execution only: know your client but not what he knows. Managing risk of third parties using your services.

Straddling the Chinese Wall: where compliance officers stand in cases of potential conflict of interest.

Market Manipulation including pump & dump and boiler rooms

- Pump and Dump

- Boiler rooms

- Why are some jurisdictions a more popular base than others?

Short selling and options

Failure to disclose

Misrepresenting investment risks

Market Timing

Unlicensed offerings / entities

Market supervision

- identifying suspicious activity: regulators

- identifying suspicious activity: market participants

Related Money Laundering

(provisional programme, subject to change)