Understanding the regulatory landscape to avoid issues down the line

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