Board: Market Conduct and Conflicts of Interests

Market conduct and conflict of interest presents one of the most sensitive supervisory topics for FINMA as it has direct effect on market integrity, investor confidence and the reputation of the Swiss financial centre. Moving beyond operational compliance, this course clarifies the Board’s non-delegable oversight duties, regulatory expectations, and the specific documentation required by FINMA and external auditors. Directors will gain a clear understanding of market abuse definitions, FINMA Circular 13/8, the Financial Market Infrastructure Act, and the applicable obligations and sanctions to effectively safeguard institutional integrity.

The topics discussed are:
– Market conduct and the board’s accountability
– Regulatory framework
– Market abuse & conflict of interest