Market Abuse Workshop
Overview
The Market Abuse regime is now well established in the UK and the Financial Conduct Authority (FCA) has pursued a series of cases, both civil and criminal, against individuals and firms that have breached the rules. However, the FCA’s own reviews indicates that many firms still have inadequate controls to prevent Market Abuse and the misuse of inside and confidential information.
This one-day course is packed with practical case studies to show how Market Abuse can occur in different markets and products. It also provides a comprehensive overview of the regulatory regime relating to Market Abuse, including the impact of the EU Market Abuse Regulation (MAR). It will provide participants with an understanding of the various forms of Market Abuse, as well as the significance of inside information. It also explores the regulator’s expectations, as well as the practical steps required to implement effective systems and controls to prevent Market Abuse.
This course is part of CCL Academy’s ‘Skills Workshop’ series, a suite of courses focusing on the practical skills required by Compliance and Financial Crime Prevention professionals.
Who is this for?
The course is designed for anyone who requires an accessible, but comprehensive, overview of the UK Market Abuse Regime. This could include Senior Managers, front-office staff such as Fund Managers and Traders, as well as Compliance and Audit professionals. It is particularly suitable for junior Compliance staff (typically those with 1-3 years of experience) who wish to further develop their knowledge and professional skills.
Learning Outcomes
- Understand the regulatory framework governing Market Abuse, including the Market Abuse Regulation (MAR)
- Know the principal forms of Market Abuse, including market manipulation and insider dealing
- Be able to identify inside information, and circumstances in which an individual or firm may come into possession of inside information
- Understand the FCA’s expectations regarding the prevention of Market Abuse
Course Details
- What is Market Abuse?
- The EU Market Abuse Regulation
- Insider Dealing
- Market manipulation and misleading statements
- Treatment of rumours
- Preventative Measures
- The Relationship between Market Abuse, the criminal law and FCA Principles
- Enforcement
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.