Price (from): €2,000
Rodrigo Zepeda is Co-Founder and Managing Director of Storm-7 Consulting. He is an expert consultant who specialises in derivatives and banking and financial services law, regulation, and compliance. He is an expert in a very broad range of regulatory compliance frameworks such as FATCA, the OECD CRS, MiFID II, MAD 2 MAR, PSD2, CRD IV, Solvency II, OTC Derivatives, CCP Clearing, PRIIPs, BRRD, AML4, and the GDPR. He holds a LLB degree, a LLM Masters degree in International and Comparative Business Law, and has passed the New York Bar Examination. He was an Associate (ACSI) of the Chartered Institute for Securities & Investment from 2004 to 2014 and is now a Chartered Member (MCSI). He has created and delivered numerous conferences and training courses around the world such as 'FATCA for Latin American Firms' (Santo Domingo, Dominican Republic, Panama City, Panama), 'MiFID II: Regulatory, Risk, and Compliance (London), and 'Market Abuse: Operational Compliance' (London), 'AEOI (FATCA & CRS)' (London, Lebanon, Dubai, Malta, Manama, Bahrain); AML/CFT: Operational Compliance (Dubai, London); MLRO: Operational Compliance (London).
He has also delivered numerous In-House Training Courses around the world to major international financial institutions such as The Abu Dhabi Investment Authority (MiFID II: Operational Compliance, Abu Dhabi, the United Arab Emirates); the United Nations Principles of Responsible Investment (MiFID II: Final Review, London); CAF, the Development Bank of Latin America (Swaps and Over-the-counter Derivatives, Lima, Peru); Eurex Exchange (CCP Clearing, Risk Management, Recovery and Resolution, Eschborn, Germany); European Energy Exchange AG (CCP Clearing, Risk Management, Recovery and Resolution, Leipzig, Germany); Rothschild Investment Management (UK) Limited (AEOI (FATCA & CRS), London); Resolution Life (AEOI (FATCA & CRS, London); CCP Clearing, Risk Management, Recovery and Resolution; Bethmann Bank AG (MAD 2 MAR, Frankfurt); Saxo Capital Markets (MAD 2 MAR, London); and Invesco Management, S.A. (AML/CFT, Henley); Validus Risk Management (OTC Derivatives, Eton).
For 2019 he has created some of the most cutting edge training courses available on the market today, including Artificial Intelligence in Banking and Financial Services; Supervisory Technologies (SupTech); The European Margin Rules; The 2018-2020 Collateral Paradigm; AML & CFT Advanced Practitioner; Virtual Currencies, AML, CFT: Operational Compliance; and Behavioural Persuasion Masterclass. He is a Reviewer for the Journal of Financial Regulation and Compliance and has also published widely in leading industry journals such as the Capco Institute's Journal of Financial Transformation, the Journal of International Banking Law and Regulation, as well as e-books on derivatives law. Noted publications include "Optimizing Risk Allocation for CCPs under the European Market Infrastructure Regulation"; "The ISDA Master Agreement 2012: A Missed Opportunity"; "The ISDA Master Agreement: The Derivatives Risk Management Tool of the 21st Century?"; "To EU, or not to EU: that is the AIFMD question"; and "The Industrialization Blueprint: Re-Engineering the Future of Banking and Financial Services?".
About the training
This new and unique in-house training program will provide attendees with a comprehensive instruction on the new European Union (EU) market abuse regulatory framework governed by the European Securities and Markets Authority (ESMA). The program can be specifically tailored to meet a firm's training needs by allowing firms to choose any 4 modules (1 day training) or 8 modules (2 days training), out of a choice of 10 Modules. The modules cover the new Market Abuse Directive (MAD 2) (Directive 2014/57/EU), Market Abuse Regulation (MAR) (Regulation No 596/2014), and Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (2016 No. 0000) (MARs 2016) substantive obligations in depth. They also cover new obligations for trading venues (Multilateral Trading Facility (MTF), Organised Trading Facility (OTF), Emissions Allowances) and issuers, financial services firms, and persons discharging managerial responsibilities. Firms can choose to gain in-depth instruction on a range of MAR operational practices, as well as benefitting from strategic perspectives on MAD 2 and MAR compliance. New mandatory internal MAR reporting procedures and legitimate behaviour defences, mean that financial services firms need to ensure they have implemented and maintained adequate and effective internal arrangements and procedures for the purposes of MAR and MAD 2, and that employees clearly understand the new regulatory obligations.
Advanced knowledge and understanding of key operational areas and compliance functions affected by MAD 2 and MAR (substantive obligations; sanctions; offences; STOR; accepted market practices; market soundings).
Highly comprehensive training course presentations, documentation, and training course materials.
Pre-course questionnaire to identify attendee's key objectives.
Post-course expert trainer follow-up to ensure all key training course objectives have been met.
An Introduction to MAD 2 (Directive 2014/57/EU) and MAR (Regulation No 596/2014)
An Overview of the MAD 2 Substantive Operational Framework
An Overview of the MAR Substantive Operational Framework
UK Implementation of MAD 2
MAR OPERATIONAL PRACTICES I: Suspicious Transaction and Order Reporting
MAR OPERATIONAL PRACTICES II: Buy-back Programmes and Stabilisation Measures
MAR OPERATIONAL PRACTICES III: Accepted Market Practices
MAR OPERATIONAL PRACTICES IV: Market Soundings
New MAR Exemptions and Powers and Sanctions
Strategic Perspectives on MAD 2 and MAR Compliance
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