Compliance for Financial Institutions

24 June 2010

Hotel Hessischer Hof, Friedrich-Ebert-Anlage 40, 60325 Frankfurt

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Dr. Andreas Fillmann

On 24 June 2010 Squire Sanders European Partner Dr. Andreas Fillmann presented “Market Protection Rules in the Banking Sector” as part of the Compliance for Financial Institutions event presented by Deutsches Aktieninstitut in Frankfurt.

His presentation covered compliance-related EU Directives and their implementation into German law - in particular, regulatory aspects of insider trading, market abuse and conflict-of-interest aspects, and the related compliance rules to prevent such issues.

The following topics were also discussed at the event:

Markets in Financial Instruments Directive (MiFID) review and Minimum Requirements for Compliance (MaComp) - reasons, background and priorities from a supervisory point of view
Requirements for compliance - strengthening investors and improving enforcement
Acquisitions of credit institutions and compliance aspects thereof
Compensation issues
Compliance from the perspective of law enforcement agencies

Dr. Andreas Fillmann Frankfurt

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