Market Abuse

Course Background:

Market Abuse is one of the most serious issues facing financial services organisations. There are calls for the UK Government to increase the penalties for Market Abuse in this country to bring them into line with those imposed in the United States.

Course Overview:

This course will assist both employees and firms to identify, manage and mitigate Market Abuse risk

Course Objectives:

Attendance on this course will enable you to:

• Ensure you have a good understanding of the type of conduct prohibited under the Market Abuse regime
• Understand how your firm’s policies and procedures have been designed to prevent Market Abuse
• Understand the practical controls put in place by your firm to reduce the risk of Market Abuse occurring

Key Topics

• Scene Setting: FSA Statutory Objectives, Thematic reviews, Penalties, Legislation & Guidance
• Market Abuse definition
• Market Abuse Offences
• Suspicious Transaction Reports (STR’s)
• Practical Controls
• Topical issues

Course aimed for: Anyone working in a financial services regulated firm

Duration: 2 hours

Location: IMS offices

Open Course Price: £300 + VAT per delegate  

However, if you wish to attend Anti-Money Laundering session as well as the Market Abuse session, scheduled to run on the same day, a discounted price can be offered at a total cost of £400 + VAT per delegate.

Maximum numbers: 15

 This course can also be delivered as an onsite course or as a component of our Online and Instructor Led Training packages.

Please click here to view our open course training schedule for our next available Anti-Money Laundering course. Alternatively if you would like to enquire about onsite delivery of this course or to discuss our training packages in more detail, please contact Peter Moore on 0207 408 2448 or your usual IMS consultant.