Registration Time: 09.00
Sessions Time: 09.15 - 12.30 including a 15-minute break
Speaker: Dr Diane Bugeja
Venue: Online Webinar

Participation Fees (The Institute is now accepting payments via Paypal)
MIA Members: €40.00
Non-MIA Members: €75.00
Retired Members: €20.00
Students: €30.00

Background Information

The session will cover the legislative framework surrounding market abuse and how these interact with the AML obligations of subject persons.

Objectives of this session

The session aims at highlighting the key obligations and prohibitions arising from the market abuse legal framework.

Topics on the agenda

- Insider information
- Market manipulation
- Disclosure of inside information
- Insiders' lists
- Suspicious transaction report (STR)
- Research disclosure

Target audience

Listed entities, entities which are considering admissibility to listing, and investment service providers

Speaker’s Profile

Diane practices primarily in financial services law, financial regulation and anti-money laundering regulation, providing advice to local and overseas clients on the impact of the current and forthcoming regulatory regime on their business models. Diane also advises clients on the regulatory aspects of a wide range of transactions, including licensing-related matters, capital markets initiatives and on-going liaison with regulatory authorities more broadly.
Diane joined the firm as an Associate in 2016 and was promoted to Senior Associate in January 2017. She was previously a risk and regulatory consultant at a Big Four audit firm, working in Malta and in London, and subsequently joined the enforcement departments of the UK and Maltese financial services regulators. Diane successfully completed her PhD in Law in 2017 and her research focused on the mis-selling of complex investment products to commercial retail investors.
She is a visiting lecturer at the University of Malta and is regularly invited to speak at conferences and deliver seminars on various aspects of financial services law and financial crime.

EVENT CPE COMPETENCES

3 Hours Core 

TERMS AND CONDITIONS

Terms and conditions apply

DISCLAIMER

By Registering and/or Booking for this event, you agree that MIA will collect your information, who will be using it as per the MIA Privacy Policy for CPE Events. Please read the MIA’s Privacy Notice for CPE Events in its entirety which can be found at this link. By accepting to participate in this event you accept that MIA shall process personal data in accordance with this Privacy Notice.

If registration is being affected by a company or other corporate entity on behalf of an attendee or the registering company or other corporate entity supplies to the MIA personal data of third parties, such as of employees, affiliates, management companies or service providers, the registering company or other corporate entity shall be solely responsible for making sure that the provision of such data to the MIA fully complies with applicable laws and the relevant person in regard to whom the data relates has been provided with the necessary information at law regarding the MIA’s processing of his personal data.
Any information notices, consents or other applicable requirements that may be required to be fulfilled for the provision of third party data to the MIA shall be borne solely by the registering company or other corporate entity. The registering company or other corporate entity hereby fully indemnifies the MIA and shall render the MIA completely harmless against all costs, damages or liability of whatsoever nature resulting from any claims or litigation (instituted or threatened) by any third party against the MIA as a result of the provision of any third party personal data to the MIA by the registering company or other corporate entity.

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