Fireside chat with the FCA (Sept 26)
Missed July's session? Join senior members of the FCA's Primary Market Oversight team for a second candid conversation, held under the Chatham House Rule.
Agenda
What the session will cover.
Welcome and introductions
- Introductions
- Overview of the session
What typically prompts an FCA enquiry
- Common triggers and themes behind FCA enquiries relating to MAR and insider list compliance
- The types of issues firms are most often asked to address
Responding to an FCA enquiry in practice
- What is typically involved in preparing and coordinating a response
- Key steps, stakeholders and considerations during the process
Common pitfalls and good practice across firms
- Frequent errors or challenges seen in MAR insider list processes and FCA responses
- Practical observations on effective processes and approaches
Discussion of practical scenarios and takeaways
Open Q&A and audience discussion
Meet the speakers
Who you will hear from.
Sarah Hone
Head of Primary Market Oversight, FCA
Sarah leads the FCA department overseeing issuer disclosure and sponsor conduct under the UK Listing Rules, the Disclosure Guidance and Transparency Rules, and the UK Market Abuse Regulation. She joined in 2012 and has worked across primary and secondary markets, with prior experience at UBS and ICE Futures Europe.
Daniel Holmes
Technical Specialist, Primary Market Monitoring, FCA
Daniel works in Primary Market Monitoring, responsible for surveillance and real-time compliance issues affecting listed companies' disclosure obligations, including UK Market Abuse Regulation requirements. He joined in 2016 after 11 years in corporate broking at UBS.
Sam Wilson
Lead Associate, Primary Market Enquiries, FCA
Sam leads the Primary Market Enquiries team overseeing post-event compliance with disclosure obligations under the UK Market Abuse Regulation, the UK Listing Rules, and the Disclosure Guidance and Transparency Rules. He joined in 2022 from UK law enforcement and sporting integrity services.
Before you join
Held under the Chatham House Rule.
The session is designed for open discussion, so a few house rules apply.
Chatham House Rule
You are free to use the information shared during the session, but neither the identity nor the affiliation of any speaker or participant may be revealed.
No recording
We ask attendees not to record the session in any form. No recording will be made available afterwards.
Anonymous questions
You can submit questions in advance and choose to keep your name and email off them. There will also be time for live questions.