Market Abuse Fundamentals Course

The Market Abuse Fundamentals Course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective.
All our courses are delivered by experts in the regulatory field.

The foundation course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective, including:

Background

• Evolution of the UK market abuse regime
• Importance of market conduct and integrity
• Structure of the legislation

Market abuse criminal regime

• Insider dealing
• Market manipulation
• Criminal sanctions

Market Abuse Regulation (MAR)

• Application – who is obligated, what financial instruments, what markets
• Scope and exemptions
• Breaches and penalties
• Inside information and insider dealing
• Public disclosure of inside information
• Insider lists
• Market soundings
• Market manipulation
• Managers’ transactions
• Investment recommendations
• Whistle-blowing
• Relevant case studies

Systems and Controls

• Prevention and detection of market abuse: Best practice measures and regulatory expectations
• Market abuse risk assessments
• Automated and manual surveillance arrangements
• Suspicious transaction and order reports (STORs)
• Typical signs of market abuse and potential red flags
• Relevant case studies

• 28 February 2024 (9.00am - 1.00pm)
• 25 April 2024 (1.00pm - 5.00pm)
• 28 June 2024 (9.00am – 1.00pm)
• 8 August 2024 (1.00pm – 5.00pm)
• 3 October 2024 (9.00am – 1.00pm)
• 12 December 2024 (1.00pm – 5.00pm)
• Further dates to be added. We can also schedule courses on demand – please email us with your requirements.