Draft Schedule

 

Day 1: Regulatory roles and structures (Monday 30 September 2013) 

• Rethinking Financial Regulation – The Post-Crisis Agenda

• Regulatory Architecture – Global Financial Regulation

• Regulatory Architecture National Structures and the Role of Central Banks in Regulation

• Developments in Supervisory Practices

• Regulating for Financial Stability
  
   

Day 2: Financial Supervision in the EU and Prudential Supervision (Tuesday 1 October 2013)  

• Regulatory Architecture – the New Structures of EU Financial Regulation (1)

• Regulatory Architecture – the New Structures of EU Financial Regulation (2)

• Licensing and Ongoing Supervision Investment Firms

• Financial Stability – Capital Rules Basel II & III/CRD

• Insurance – Prudential Supervision (Including Insolvency II)
   

 

Day 3: Regulating Markets (Wednesday 2 October 2013)            

• Trading Venues

• Market Disclosure (Prospectus and Transparency)

• Derivatives – Clearing and Settlement

• Role of Gatekeepers: Credit Rating Agencies

• Alternative Investment Funds

                                                    

Day 4: Protecting clients; financial crime (Thursday 3 October 2013)

• Conduct of Business Regulation: Key Principles

• Protecting Retail Investors

• Client Money

• Anti-Money Laundering

• Insider Dealing and Market Abuse

 

Day 5: The Governance of Financial Firms (Friday 4 October 2013)

• Banks – Internal Governance

• Regulation within firms: Approved person regime and the role of non-executive directors

• Regulation within firms: Risk Management

• Regulation within firms: Managing legal risk

• Roundtable Discussion of Future Directions for Financial Regulation