CESR/EIFR - Practical aspects of surveillance and investigatory powers of the european financial authorities


Seminar run by the AMF in Paris in partnership with EIFR

As part of the sectoral training programme that CESR launched in June 2009, CESR is pleased to announce a new seminar on the practical aspects of surveillance and investigatory powers of the financial Authorities. The seminar focuses on identifying the main challenges of surveillance (Do the regulators need a surveillance system to detect anomalies? What metrics for such system? What are the alternatives?) and on the Authorities' investigatory powers (What are the practical powers of the regulators? What difficulties are encountered? How may cooperation be improved on a pan-European basis?). The seminar is conceived as an arena where experts and practitioners will confront their views. It will be aimed at finding paths of improvement that would be helpful in terms of cooperation.

The Autorité des marchés financiers (AMF) will run the seminar with the cooperation of BaFIN, CNMV, AFM, Polish FSA, CMVM, FSA and other Authorities. It will be organised in Paris, France, on 17-18 November 2009 at Palais de la Bourse (Place de la Bourse).

Target audience: As the seminar provides a practical approach to surveillance and investigation, it is addressed to staff with a good level of expertise in these areas.

Programme description: The seminar will take place over one and a half days. On the first day in the morning, the participants will discuss the different approaches to the organisation and missions of surveillance departments, the technical tools and human expertise of surveillance departments, data collection and control processes, alerts and red flags. In the afternoon, they will discuss the practical exercise of their powers as regards requests for information and access to documents. This will be followed on the second day (morning) by exchanges of views on inspections and hearings.

Panels: Each subject will be presented by a panel of five to six persons from various Authorities. They will be expected to briefly present (less than 10 minutes) the main aspects of their respective situations based on a common framework, as proposed in the attached programme of the seminar. For each subject, a debate with the audience will take place.

Registration: In order to make the necessary arrangements, registration forms should be sent by 13 November 2009. For further details, please contact Mr. Philippe Andrieu (philippe.andrieu@eifr.eu) or Ms. Marie-Adelaide de Nicolay (+33 1 49 27 12 93). The course fees will be 400 euros.

  • Detailed program
  • Registration form
  • Online registration
  • How to get there
  • Hotels nearby with negociated rates