Duration: 1 Day
Location: City of London
Upcoming Dates: 15 Mar 2019
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...
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 course 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.
- 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
- 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