About the Course
Learn about the UK's market abuse regime and how it affects investment professionals. Explore the types of offences and the sanctions for committing them.
To provide an introduction to the UK regulations covering market abuse and how they impact investment professionals
To explore the different types of market abuse offences and how to identify them in practice
To explain the potential sanctions for committing market abuse and the consequences for individuals and firms
By the end of this training course, participants will be able to:
Define the concept of market abuse and explain why it is regulated in the UK
Identify the key regulations covering market abuse in the UK, including the Market Abuse Regulation (MAR) and the Criminal Justice Act 1993
Understand the different types of market abuse offences, including insider dealing, market manipulation, and false or misleading statements
Recognize the signs of market abuse and know what to do if they suspect it is happening
Explain the sanctions for committing market abuse, including criminal and civil penalties, fines, and imprisonment
Understand the role of the Financial Conduct Authority (FCA) in enforcing market abuse regulations and the consequences for individuals and firms who breach them
Apply the knowledge gained in the course to their own work as investment professionals and ensure compliance with market abuse regulations.
This introductory training course provides an in-depth overview of the market abuse regime in the UK and how it impacts investment professionals.
Participants will learn about the regulations covering market abuse, including the Market Abuse Regulation (MAR) and the Criminal Justice Act 1993. They will also explore the different types of market abuse offences, such as insider dealing, market manipulation, and false or misleading statements, and understand how to identify them in practice.
Our course explains the potential sanctions for committing market abuse, including criminal and civil penalties, fines, and imprisonment, and the consequences for individuals and firms. Participants will gain an understanding of the role of the Financial Conduct Authority (FCA) in enforcing market abuse regulations and the steps they can take to ensure compliance with them.
Our course is essential for investment professionals who want to stay up-to-date with the latest regulations and protect their firm from potential legal and reputational risks associated with market abuse.
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
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.