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Compliance Essentials Library

Market Abuse Regulation Course

The Market Abuse Regulations prohibit insider dealing, unlawful disclosure of inside information and market manipulation. If you breach these regulations, you risk heavy fines and even long prison sentences.

The laws and regulations prohibiting market abuse apply to everyone, not only those engaged in front office, client dealing or trading roles. So it is important that all employees know and understand the rules and procedures their company have in place to prevent market abuse.

Our Market Abuse Regulation course will help your employees to understand the EU and UK laws that safeguard financial market integrity and protect investors. 

Audience: All staff  |  Duration: 45 minutes  |  Format: E-learning module

Learning Objectives

This course will prepare your employees to:

  • Recognise the types of behaviour classed as market abuse
  • Take appropriate action to avoid dealing on the basis of inside information and prevent its unlawful disclosure
  • Act with integrity and honesty to avoid market manipulation
  • Observe the market rules in relation to insiders' lists, disclosure of managers' deals, research disclosures and safe harbours
  • Know when and how to report suspicious transactions and blow the whistle

Course Contents

  • Welcome
    - What is market abuse?
    - Types of market abuse
    - Is this a serious crime?
    - You make the call: Is this market abuse
  • Section 1: EU Market Abuse Regulation
    - Scope of MAR
    - You make the call: Scope
  • Section 2: Insider dealing offence
    - What is inside information?
    - Who is an insider?
  • Section 3: Unlawful disclosure of inside information offence
  • Section 4: Market manipulation offence
  • Section 5: Impact beyond the key offences
    - Enforcement
  • Section 6: Market abuse scenarios
  • Scenario: Frank's sell order
    - Frank has a change of heart
    - Is the broker liable?
  • Scenario: Anna cancels an order
  • Scenario: Terry's market making
    - Using client order information
    - Chinese walls
  • Scenario: Jeffrey's takeover bid
    - Contract for difference
    - Changing the bid based on inside information
    - Third-party solicitation
  • Scenario: Jason's profitable tips
    - Acting on a news alert
    - Scenario: Gilbert's tips
    - Acting on an acquisition tip
  • Scenario: Seema's short position
    - Agreement to squeeze
  • Scenario: Pia's price positioning
    - Off market transaction
  • Scenario: Natalie's tax-driven trades
    - Pricing to avoid taxes
  • Scenario: Bjorn's printing dilemma
  • Scenario: Viktor's commodity trades
    - Impression of scarcity
    - Buying to cover a short
  • Summary
  • Affirmation
  • Assessment

Free Trial: Compliance Essentials

This course is part of our Compliance Essentials Course Library.

Compliance Essentials is our best-selling library and there's a reason for that.

Essentials contains 30 in-depth courses and dozens of express micro-learning modules from AML, Bribery, GDPR and Equality to Health and Safety. It provides a complete and comprehensive off-the-shelf compliance solution for UK businesses that can be customised completely to fit your organisation.

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Duration Approximately 45 minutes
Audience Suitable for all staff - examples and interactivities designed for staff at all levels
Prerequisites No previous knowledge or experience required
Design SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet
Assessment Ten-question assessment
Test-out Ability to offer optional test-out, whereby users can choose to skip the course content and complete the learning assignment simply by passing the assessment Deployment AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC
Deployment AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC
Compatibility All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility)
Tailoring Fully customisable on Skillcast Portal CMS
Translation Pre-translated versions not available, but all text content can be exported for translation into all languages
Localisation Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary

Off-the-shelf Courses

Our off-the-shelf subscription options allow you to train your staff using this course and other essential compliance courses cost-effectively.

We can also customise courses to your business needs or create fully bespoke courses to your specification.

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