Market Abuse / MAR (Listed Issuer)

Description

The module, which provides market abuse training for Directors, Senior Managers, and Staff at FCA authorised firms, outlines the UK market abuse regime. Summaries of both the Criminal and Civil frameworks are included as is guidance issued by the FCA. Case studies of FCA sanction activity are also covered. 

 

The module is divided into three parts which will each be followed by a knowledge check. Once the module is completed there will be an assessment to validate your knowledge. 

 

Part 1

a) Market Abuse Introduction; 

b) Regulatory Framework; and

c) Scope.

Part 2

a) Market Manipulation; 

b) Insider Dealing; 

c) Public disclosure of Inside Information;

d) Insider Lists; and 

e) Managers’ Transactions.

Part 3

a) Suspicious Transaction or Order Reporting;

b) Whistleblowing;

c) FCA Approach; and

d) FCA Sanctions Case Studies.

 

Learning Objectives

Learners will gain an understanding of the why market abuse behaviour "prevents full and proper market transparency" and adversely impacts on trading in integrated financial markets.

 

At the completion of the course the Learner should understand what potentially constitutes:

a) Market Manipulation - including examples of bad practice;

b) Insider Dealing, whilst also gaining insights into what might constitute "insider dealing";

Learners will also be advised of their / their firm's obligations to:

a) maintain Insider Lists; and

b) satisfy Managers' Transactions notification obligations and adhere to certain trading restrictions. 

 

Learners will also be informed of FCA recent guidance and sanction activities, which should raise their awareness of potential market abuse behaviours. 

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Timing

The duration of this 3 part module is approximately 48 minutes. Each section is followed by a knowledge check and we have allocated 4 minutes to complete these. We have allocated up to 20 minutes for the assessment that follows the completed module.