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Market Abuse Fundamentals Course

31-12-2021
London Stock Exchange
10 Paternoster Square
London
EC4M 7LS
Certified training course to provide operations and compliance staff with a thorough grounding in the Market Abuse Fundamentals regime (MAR).
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.
There are various course dates available throughout 2021. All our courses are delivered by experts in the regulatory field and all our content is either designed or approved by our in-house SMEs.
Course Outline
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
Dates for 2021:
- 21 January 2021 (9.00am - 1.00pm)
- 18 February 2021 (9.00am - 1.00pm)
- 18 March 2021 (9.00am - 1.00pm)
- 15 April 2021 (9.00am - 1.00pm)
- Further dates will be added
Due to Covid-19 restrictions all our courses for Q1 2021 will be delivered remotely by the instructor. The web sessions are interactive and there is plenty of opportunity to ask questions. A full PDF of the course notes is sent to delegates after the session.
Before booking, please ensure you have read our cancellation policy.
If you have any questions please contact us on the following email address: uvtraining@lseg.com


UnaVista clients: £600 (+VAT)
Non-client rate: £800 (+VAT)
NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.