Market Abuse Fundamentals Course

21-01-2021 -
31-12-2021

Training

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

Florian Nitschke

Director, Regulatory Consulting, Duff and Phelps Ltd

Florian joined Duff and Phelps in 2017 from FTI Consulting. Prior to entering consulting, he spent five years at the Financial Conduct Authority (FCA) in its Capital Markets Division. In roles as firm supervisor and capital markets sector specialist, he gained wide experience with regulatory assessments of firms’ system and control arrangements. As a member of the Wheatley Review into LIBOR, he helped design the first regulatory framework for financial benchmarks, aimed at preventing their manipulation. At Duff and Phelps, Florian has worked with clients ranging from proprietary traders using algorithms, to interdealer brokers and some of the world’s biggest exchanges to assess their market abuse risks and enhance related controls. In doing so, he has gained substantial expertise of the wide range of risks firms are presented with and the challenges in identifying and controlling them.

Tammy Li

Director, Regulatory Consulting, Duff and Phelps Ltd

Tammy is a Regulatory Consulting Director at Duff & Phelps with over 16 years’ experience in the Financial Services industry. At Duff & Phelps, Tammy focuses on operational and regulatory consulting, assisting a vast range of global investment firms with the practical challenges they face in order to comply with their regulatory obligations. In particular, Tammy specialises in helping firms strengthen their Market Abuse frameworks, including designing and implementing tailored market abuse risk assessments across asset classes and business units, assessing the effectiveness of policies, systems and controls across first and second lines of defence to prevent and detect market abuse, and preparing and delivering bespoke market abuse training to clients.