Market Abuse Compliance in Practice

• Jurisdiction: European Union
• Year: 2023

Speaker

Dr. Katharina Stüber is a lawyer and holds a degree in business administration. She is a partner in the Corporate/M&A practice group in Frankfurt/Germany. Before joining Baker McKenzie she worked for 10 years for another international law firm. Her practice focuses on advising listed companies on stock corporation and group law, including corporate governance, as well as capital markets law.

Katharina Stüber has been named “Germany’s Best Lawyers” by Handelsblatt, and “Name of the Next Generation” by Wirtschaftswoche and Legal 500. She frequently publishes articles on topics of her interest and holds presentations at various organizations.

Topic

In this e-presentation, the pragmatic dimension of market abuse compliance takes center stage, providing a hands-on exploration of the intricacies surrounding regulatory adherence. Focused on practical considerations, the presentation delves into the realm of compliance management systems, offering a comprehensive guide for market participants seeking to fortify their strategies in alignment with regulatory requirements.

A pivotal facet of this presentation is its laser focus on market abuse compliance from the perspective of issuers. The narrative unfolds systematically, addressing key components that shape the compliance landscape for issuers. The discussion begins by navigating the labyrinth of insider prohibitions, shedding light on the regulatory constraints and obligations imposed on issuers to prevent illicit insider trading activities.

The presentation then seamlessly transitions to the critical realm of insider lists, providing nuanced insights into the meticulous record-keeping processes essential for maintaining transparency and accountability. Attendees gain a thorough understanding of the protocols governing the compilation and maintenance of insider lists, ensuring a robust foundation for compliance.

Moving forward, the e-presentation strategically unpacks the imperative subject of the disclosure of insider information. Through practical scenarios and case studies, it illuminates the nuanced considerations issuers must...