Market Abuse
Singapore
21 / 22 July 2010
www.financialcrimeforum.com
Subject areas:
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)
+6 03 2078 9152
www.financialcrimeforum.com
