International Compliance Officer Certificate
Overview
Market Abuse is both high up on the regulatory agenda, but also potentially complex. Often it is not always clear what is and is not deemed to be ‘abuse’ of the market.
This course aims to inform participants about the different types of market abuse and how they can manifest themselves in any business involving the traded markets.
Whilst the 90 minute Market Abuse Awareness course is suitable for front and back-office staff, an intensive, six hour option is available for the Compliance & Risk Management staff, and Senior Management.
Learning Outcomes
After attending this course, participants will be able to:
- Describe the main types of market abuse
- Explain how such abuse can manifest itself in their markets
- Describe how reporting of market abuse suspicions needs to be made
Course Details
- What is Market Abuse?
- Why is it important?
- Insider Dealing
- Unlawful disclosure of inside information
- Market manipulation
- Reporting requirements relating to suspicions of Market Abuse
- Case studies
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.