Market Abuse Risk Assessment Checklist

Length: 1 page | Format: Editable PPT/PDF

A market abuse risk assessment is an assessment that businesses conduct to outline the risks they anticipate. The nature of the business, type of risks and risk appetite inform the risk assessment.

The risk assessment, in turn, informs what you do in surveillance. This type of assessment is unique to a business since it aligns with its specific risks. However, there are general guidelines to build the assessment. 

Our checklist outlines the steps every business should take to ensure they have a comprehensive market abuse risk assessment.

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Risk Assessment Checklist Market Abuse

How this training will help

Our free checklist will help you develop your unique market abuse risk assessment. Preparing for an identified market abuse risk will help prevent ongoing behaviour.

Our market abuse risk assessment checklist:

  • highlights eight of the main considerations when developing this assessment
  • creates a step-by-step general process that every business should follow
  • will help your business get the most out of this type  of risk assessment

Download this training aid