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    Market Abuse Regulation

    Welcome to this course on the Market Abuse Regulation. In this course, you'll learn about the law in the EU and the UK that safeguards financial market integrity and provides investor protection. It provides rules on insider dealing, unlawful disclosure, market manipulation and market conduct. The Market Abuse Regulation prohibits insider dealing, unlawful disclosure of inside information and market manipulation and the penalties for getting it wrong include heavy fines and long prison sentences for those involved. Additionally, to comply with this regulation, our Company policy requires you to obey rules and procedures. Learn about these rules, and practice how to get them right. [Duration: 45 min] 

    Learning Objectives

    • How to identify market abuse
    • Avoid dealing on the basis of inside information
    • Avoid unlawful disclosure of inside information
    • Avoid market manipulation
    • Observe the market rules in relation to insiders' lists, disclosure of managers' deals, research disclosures and safe harbours
    • When and how to report suspicious transactions and blow the whistle
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    Free Trial: Essentials

    This course is a part of Compliance Essentials, our best-selling compliance e-learning library. A subscription to this library gives you the ability to train your staff on all the key compliance issues from AML, Bribery, GDPR to Equality and Health and Safety. All these course can be customised to completely fit your organisation. Take a free trial to experience these courses yourself.

     

    Course Contents

    • Welcome
    • What is market abuse?
    • Is this a serious crime?
    • 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

    Specifications

    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

    Pricing

    We offer several off-the-shelf subscription options for you to train your staff using this course and others in this library. Alternatively, you may purchase a perpetual licence to this course and tailor it completely to fit in with your business or go for something totally bespoke that we build for you ground up. Visit our pricing page for more details on all these options.

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