IOSCO/PIFS-Harvard Law School. Global Certificate Program for Regulators of Securities Markets
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1 IOSCO/PIFS- Global Certificate Program for Regulators of Securities Markets June 19-30, 2017, Madrid, Spain (Phase I at IOSCO) December 3-8, 2017, Cambridge, MA, United States (Phase II at Harvard) Agenda Phase I In-Person Module on Regulation (June 19-23, 2017) Location: International Organization of Securities (IOSCO) C/ Oquendo Madrid SPAIN Monday June 19 09:00 09:30 Registration 09:30 09:45 Welcome and Program Overview Mr Paul P. Andrews, Secretary General, International Organization of Securities 09:45 11:00 The Capital Market System, Regulation, Regulatory and Supervisory Models 11:15 12:30 Role of the Regulator and the IOSCO Principles; the current IOSCO Priorities 12:30 14:00 Lunch Mr Paul P. Andrews, Secretary General, International Organization of Securities 1
2 14:00 15:30 Professional Standards: Ethics and Conflicts of Interest 15:30 15:45 Break 15:45 17:30 Creating an Ethical Culture in an Organization Mr S. Raman, Whole Time Member, Securities and Exchange Board of India Securities Mr Aute Kasdorp, Senior Strategy Advisor, International Organization of Securities (moderator) 17:30 19:30 Welcome Cocktail / Networking Event Tuesday June 20 09:30 11:00 Regulators and Corporate Governance Issues Compensation, Board Composition and Internal Controls Dr Aurelio Gurrea Martínez, Fellow, Program on Corporate Governance; Teaching Fellow, Program on International Financial Systems, 11:15 12:30 Regulatory Obligations of Issuers 12:30 13:45 Lunch Securities 13:45 15:00 Broker Dealer Duties to Clients: Regulatory Responsibilities and the Regulatory Response 15:00 15:15 Break Mr Johnstone Oltetia, Manager Market Supervision, Capital Markets Authority, Kenya 2
3 15:15 16:30 Regulators and Investor Education and Changing Investors Behaviours Ms Gerri Walsh, Senior Vice President Investor Education, Financial Industry Regulatory Authority (FINRA), and President, FINRA Investor Education Foundation, United States of America Ms Gloria Caballero Núñez, Deputy Director Financial Education, Comisión Nacional del Mercado de Valores, Spain 16:30 17:45 FinTech Developments and Regulatory Issues Mr Aute Kasdorp, Senior Strategy Advisor, International Organization of Securities Mr Nehal Vora, Chief Regulatory Officer, BSE Ltd. Mr Paul P. Andrews, Secretary General, International Organization of Securities (moderator) Wednesday June 21 09:30 10:45 Corporate Reporting and Disclosure Issues for Regulators Ms Ana Martínez-Pina, Vice-Chair, Comisión Nacional del Mercado de Valores, Spain Mr Gonzalo Ramos, Secretary General, Public Interest Oversight Board 11:00 12:30 Case Study on Dual-Class Shares of Listed Companies Alibaba 12:30 13:45 Lunch Dr Aurelio Gurrea Martínez, Fellow, Program on Corporate Governance; Teaching Fellow, Program on International Financial Systems, 13:45 15:00 Regulation of Financial Market Infrastructures Mr Tajinder Singh, Deputy Secretary General, International Organization of Securities Ms Patricia Sáenz de Maturana, Senior Policy Advisor, International Organization of Securities Mr Tim Pinkowski, Policy Advisor, International Organization of Securities 3
4 15:00 15:15 Break 15:15 16:15 Regulation of Exchanges and Dark Pools Mr Raúl Navarro, Senior Officer on Secondary Markets, Comisión Nacional del Mercado de Valores, Spain 16:15 17:30 Regulation of Investment Funds and Asset Managers Dr Shane Worner, Senior Economist, International Organization of Securities Mr Trevor Lee, Director of Investment Products, Securities and Futures Commission, Hong Kong (moderator) Thursday June 22 09:30 11:00 Case Study (Part 1, to be continued in Phase II at Harvard) Securities 11:15 12:45 Steps in the Supervision Process 12:45 14:00 Lunch Mr Aute Kasdorp, Senior Strategy Advisor, International Organization of Securities 14:00 15:00 Risk Identification and Limiting the Risk with Risk Based Supervision 15:00 15:15 Break Ms Patricia Dunne, Deputy Head, Supervisory Risk Division, Central Bank of Ireland 15:15 16:15 The Use of Informal Methods and Norms Mr Aute Kasdorp, Senior Strategy Advisor, International Organization of Securities 4
5 16:15 17:30 Using Alternative Dispute Resolution as a Method for Handling Customer Disputes Securities Friday June 23 09:30 10:45 Role of Regulation and Market Development Mr Johnstone Oltetia, Manager Market Supervision, Capital Markets Authority, Kenya 11:00 12:00 International Regulatory Architecture and Cooperation 12:00 13:30 Assessment 13:30 15:00 Lunch Mr Sebastián Albella, Chairman, Comisión Nacional del Mercado de Valores, Spain Mr Paul P. Andrews, Secretary General, International Organization of Securities Mr Toshio Tsuiki, Deputy Secretary General, Basel Committee on Banking Supervision Mr Tajinder Singh, Deputy Secretary General, International Organization of Securities (moderator) 15:00 End of Phase I Module on Regulation 5
6 Agenda Phase I In-Person Module on Compliance (June 26-30, 2017) Location: International Organization of Securities (IOSCO) C/ Oquendo Madrid SPAIN Monday June 26 09:00 09:30 Registration 09:30 09:45 Welcome and Program Overview Mr Tajinder Singh, Deputy Secretary General, International Organization of Securities 09:45 10:45 Ensuring Compliance by Conducting Inspections/Investigations: Why, When, and How Mr Jean Lorrain, Senior Director of International Affairs and Strategic Monitoring, Autorité des marchés financiers, Québec 11:00 12:30 Elements of Offenses and Documents Needed to Prove those Offenses 12:30 14:00 Lunch Mr Ralf Becker, Head of Division, Administrative Offence Proceedings, Securities Supervision, Federal Financial Supervisory Authority, BaFin, Germany Ms Ana Teresa López de Ceballos Velarde, Lawyer at the Legal and Enforcement Department, Comisión Nacional del Mercado de Valores, Spain 14:00 15:30 Compliance Officers and Their Responsibility and Potential Liability Mr Eric Moss, Senior Vice President, Deputy General Counsel and Chief Compliance Officer, BMO Financial Group Mr Jean Lorrain, Senior Director of International Affairs and Strategic Monitoring, Autorité des marchés financiers, Québec 6
7 15:30 15:45 Break 15:45 17:30 Conducting the Examination/Investigation: The Plan, Obtaining Documents, and Asking Questions Mr Martin Hovington, Director, Market Manipulation and Insider Trading, Autorité des marchés financiers, Québec 17:30 19:30 Welcome Cocktail / Networking Event Tuesday June 27 09:30 10:45 Market Manipulation Practical Exercise Securities 11:00 12:30 Market Manipulation Practical Exercise (Continued) 12:30 14:00 Lunch Securities 14:00 15:30 Role of Surveillance / How Regulators might use Internal Supervision conducted by Regulated Entities 15:30 15:45 Break Mr Eric Moss, Senior Vice President, Deputy General Counsel and Chief Compliance Officer, BMO Financial Group 15:45 17:00 International Enforcement Cooperation, the IOSCO MMoU/EMMoU and Data Privacy Issues Mr Jean Lorrain, Senior Director of International Affairs and Strategic Monitoring, Autorité des marchés financiers, Québec Wednesday June 28 09:30 11:00 Investigating and Prosecuting Insider Trading Mr Martin Hovington, Director, Market Manipulation and Insider Trading, Autorité des marchés financiers, Québec 7
8 11:15 12:30 Insider Trading Practical Exercise 12:30 13:45 Lunch Mr Martin Hovington, Director, Market Manipulation and Insider Trading, Autorité des marchés financiers, Québec 13:45 15:15 Insider Trading Practical Exercise 15:15 15:30 Break Mr V.S. Sundaresan, Chief General Manager and Head of Department, Investigations, Securities and Exchange Board of India 15:30 17:00 Financial Benchmarks, and Culture & Conduct in Financial Markets Mr Alp Eroglu, Senior Policy Advisor, International Organization of Securities Thursday June 29 09:30 11:00 Case Study Fraud and Ponzi Scheme Ms Karen K. Wuertz, Senior Vice President, Strategic Planning and Development, National Futures Association, United States of America 11:15 12:45 Case Study Fraud and Ponzi Scheme 12:45 14:00 Lunch Mr Yusuf Kaya, Executive Vice President, Capital Markets Board, Turkey 14:00 15:15 Special Challenges in Examining Complex Financial Products Structured Products, CDS, etc. 15:15 15:30 Break Mr Patrick Simion, Deputy Head of the Legal Expertise, Operational Policy and Complex Management Division, Autorité des marchés financiers, France Mr Bernard Fung, Director of Investment Products, Securities and Futures Commission, Hong Kong 15:30 17:00 Anti-Money Laundering Case Study and How to Examine AML Mr Guilhem Ros, Attaché, Commission de Surveillance du Secteur Financier, Luxembourg 8
9 Friday June 30 09:30 10:45 Challenges in Investigating Investment Funds, Hedge Funds and Other Collective Investment Schemes Mr Robert Taylor, Head of Asset Management Global Strategy, Financial Conduct Authority, United Kingdom 11:00 12:00 Case Study and Practical Exercises Applying All Materials to Date 12:00 13:30 Assessment 13:30 15:00 Lunch Securities 15:00 End of Phase II Module on Compliance 9
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