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FCA and Market Abuse

Price £

295

+VAT

Duration

Half day (3 hours)

We can run this course inhouse or privately just for you and your colleagues.

 

Please submit a training request to check availability and prices.

About the Course

This course equips UK investment professionals with the knowledge and skills to handle the FCA, identify market abuse, and prevent potential situations.

This training course aims to provide investment professionals with a comprehensive understanding of the FCA's regulations and supervision of market abuse, and equip them with the knowledge and skills required to handle a potential market abuse situation and an FCA visit with confidence.

Learning Outcomes

By the end of the course, delegates should be able to

  • Understand the FCA's role in regulating and supervising market abuse, and the importance of complying with market abuse regulations

  • Identify and analyse the different types of market abuse, and the key indicators of market abuse in a financial transaction

  • Understand their obligations to report suspected market abuse, and the consequences of failing to report

  • Develop practical skills in handling an FCA visit, including how to prepare for an FCA visit, and what to expect during an FCA visit

  • Understand the consequences of non-compliance with the FCA's regulations, and the potential impact on their career and the reputation of their organisation

  • Identify and assess potential market abuse situations, and develop strategies for preventing market abuse in their daily work

  • Understand the importance of a strong culture of compliance in preventing market abuse, and the role of the individual in maintaining such a culture

  • Overall, this course aims to equip investment professionals with the knowledge and skills required to handle the FCA and potential market abuse situations with confidence, and to play an active role in preventing market abuse within their organisation

Course Outline

The Financial Conduct Authority (FCA) plays a crucial role in regulating and supervising market abuse in the UK. For investment professionals, understanding how the FCA approaches its anti-market abuse responsibilities is essential.


This training course provides delegates with comprehensive insights into how the FCA regulates and supervises market abuse, as well as the skills and knowledge needed to handle a potential market abuse situation and an FCA visit. Throughout the course, delegates will learn about the different types of market abuse, key indicators of market abuse in financial transactions, and their obligations to report suspected market abuse. Participants will also develop practical skills in handling an FCA visit, including how to prepare for it and what to expect during it.


Our course will equip participants with the knowledge needed to identify and assess potential market abuse situations and strategies for preventing market abuse in their daily work. In addition, the course will emphasise the importance of a strong culture of compliance in preventing market abuse, and the role of the individual in maintaining such a culture.


Delegates will gain a comprehensive understanding of the consequences of non-compliance with the FCA's regulations and the potential impact on their career and the reputation of their organisation.


Overall, our course is essential for investment professionals who want to be well-equipped to handle the FCA and potential market abuse situations with confidence, and play an active role in preventing market abuse within their organisation.

Required Knowledge and Skills

The course is suitable for anyone in the investment industry. This course can be adapted so that it specifically addresses individuals working in specific investment roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.

About Your Trainer

Raj Rajani

Raj Rajani

Rajeshri is a Fellow Chartered Accountant with experience in Forensic Accounting and Expert Witness work in fraud and financial crime. Raj has worked on highly complex criminal cases with the FCA and SFO, as well as firm and individual regulatory misconduct.

Raj is also an associate member of the Academy of Experts and has provided expert reports on fraud related matters.

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