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  • market abuse

    Essentials: Market Abuse

  • market abuse

    Essentials: Market Abuse

  • market abuse

    Essentials: Market Abuse

 
market abuse

Misuse of inside information that can impact the price of traded financial securities is a criminal offence that can result in fines and imprisonment. Learn the rules of proper market conduct for dealing with such information.

In this course, you'll learn about the market abuse offences: insider dealing, unlawful disclosure, and market manipulation, and related conduct rules.

Learning Objectives
  • Understand how market abuse can involve insider dealing, unlawful disclosure of inside information or market manipulation
  • Avoid the offence of insider dealing
  • Avoid the offence of unlawful disclosure of inside information
  • Avoid the offence of market manipulation
Course Contents
  1. What is market abuse?
  2. Is this a serious crime?
  3. Section 1: EU Market Abuse Regulations
  4. Scope of MAR
  5. You make the call: Scope
  6. Section 2: Insider dealing offence
  7. What is inside information?
  8. Who is an insider?
  9. Section 3: Unlawful disclosure of inside information offence
  10. Section 4: Market manipulation offence
  11. Section 5: Impact beyond the key offences
  12. Enforcement
  13. Section 6: Market abuse scenarios
  14. Scenario: Frank's sell order
  15. Frank has a change of heart
  16. Is the broker liable?
  17. Scenario: Anna cancels an order
  18. Scenario: Terry's market making
  19. Using client order information
  20. Chinese walls
  21. Scenario: Jeffrey's takeover bid
  22. Contract for difference
  23. Changing the bid based on inside information
  24. Third-party solicitation
  25. Scenario: Jason's profitable tips
  26. Acting on a news alert
  27. Scenario: Gilbert's tips
  28. Acting on an acquisition tip
  29. Scenario: Seema's short position
  30. Agreement to squeeze
  31. Scenario: Pia's price positioning
  32. Off market transaction
  33. Scenario: Natalie's tax-driven trades
  34. Pricing to avoid taxes
  35. Scenario: Bjorn's printing dilemma
  36. Scenario: Viktor's commodity trades
  37. Impression of scarcity
  38. Buying to cover a short
  39. Assessment
Specification
Feature Description
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
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
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