Market Abuse Regulation Training Course

The laws and regulations prohibiting market abuse apply to all employees, not only those engaged in front-office, client dealing or trading roles.

Thas is why it is important that all staff know and understand the procedures to prevent market abuse.

Our UK Market Abuse Regulation Course will help your employees understand how to comply with laws that protect investors and safeguard financial market integrity.

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Market Abuse Regulation Training Course

About this Course

Available as part of our Compliance Essentials Course Library.

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 market rules relating to insider lists, disclosure of managers' deals, research disclosures and safe harbours
  • Know when and how to report suspicious transactions

New in 2021

Full design review conducted by a market abuse expert.

  • Course redesigned to focus on UK-specific regulation
  • Text & image updates throughout the course
  • New pages, activities & scenarios
  • Content updated to reflect Brexit
  • Criminal Justice Act references added
  • Financial Services Act references added
  • Four new illustrative market abuse stories
  • Updated scenarios & learning activities
  • New 30-question post-course assessment

Course outline

Introduction

What is Market Abuse?

- Types of market abuse
- Is this a serious crime?
- You make the call: Is this market abuse

UK Market Abuse Regulation

- Scope of MAR
- You make the call: Scope

Insider Dealing Offence

Unlawful Disclosure of Inside Information Offence

Market Manipulation Offence

Impact beyond the key offences

- Enforcement

Market Abuse Scenarios

Scenario: Frank's Sell Order

- Frank has a change of heart
- Is the broker liable?

Scenario: Aliyah 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

Compliance Essentials

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Compliance Essentials

Course Specifications

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Structure

Approximately 45-minute long e-learning course followed by a 10-question assessment.

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Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience required.

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Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via your client style sheet.

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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.

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Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.

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Tailoring

Fully customisable on Skillcast Portal CMS.

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Translation

Pre-translated versions not available, but all text content can be exported for translation into all languages.

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Localisation

Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.