AIMA and Cosegic hosted a practical refresher on personal account dealing requirements, employee obligations, monitoring expectations, and common compliance pitfalls. The session covered:

• How firms could satisfy the high-level rules in COBS 11.7 relating to personal account dealing
• What best practice looked like
• How to address emerging issues such as prediction markets

Speakers:

• Daniel Chessher, Cosegic
• James Hopegood, Director, Asset Management Regulation, AIMA