Market Abuse & FCA Compliance - The Risks & Regulatory Framework

Introduction

This new virtual classroom seminar will explore the relevant obligations under the legislation regulating market abuse, primarily the Market Abuse Regulation (‘MAR’), and the FCA’s regulatory regime.

The session will consider what the main market abuse behaviours are and what they look like and will teach you what to do next if you spot these behaviours.

It will also provide practical guidance and examples of how to ensure compliance, along with examples of what may happen when things go wrong.

What You Will Learn

This live and interactive course will cover the following:

• Evolution of the UK market abuse regime
• Importance of market conduct and integrity
• Structure of the legislation
• Insider dealing - including inside information, insider lists, publication of inside information
• Market manipulation
• Criminal sanctions
• MAR - application, scope and exemptions, breaches and penalties
• Market soundings
• Market manipulation
• Managers’ transactions
• Investment recommendations
• Whistleblowing
• Systems and controls - prevention and detection of market abuse: best practice measures and regulatory expectations
• Market abuse risk assessments
• Suspicious transaction and order reports (‘STORs’)
• Typical signs of market abuse and potential red flags
• FCA enforcement action

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.