ADVANCED

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: FCA 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 firmDuration: 2 hours

Location: Cordium UK 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

If you would like to discuss your training requirements in more detail, please contact our Head or Training Solutions, Terry Douglas on +44(0)207 484 3961 or your usual Cordium consultant.