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Managing and Mitigating Market Abuse Risks

Price £

365

+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 training course provides investment professionals with the key techniques for managing and mitigating against market abuse risks, including conflicts of interest, information walls, market soundings, market colour, and execution risks.

The aim of this training course is to provide investment professionals with a comprehensive understanding of the key techniques for managing and mitigating against market abuse risks. Participants will learn about the common forms of market abuse, including conflicts of interest, information walls, market soundings, market colour, and execution risks, and how to effectively identify, manage, and mitigate these risks.

Learning Outcomes

By the end of this training course, participants will be able to:

  • Define the different types of market abuse, including conflicts of interest, information walls, market soundings, market colour, and execution risks. Identify potential market abuse risks in their daily work and understand the importance of proactively managing these risks

  • Understand the regulatory framework around market abuse and the consequences of non-compliance

  • Develop effective strategies for managing conflicts of interest, including identifying and disclosing conflicts, implementing information barriers, and managing confidential information

  • Understand the principles and best practices for conducting market soundings and providing market colour in a compliant manner

  • Identify and manage execution risks in order to ensure fair and efficient execution for clients

  • Understand the importance of maintaining accurate records and conducting regular reviews to ensure ongoing compliance with market abuse regulations

Course Outline

This comprehensive training course is designed for investment professionals seeking to gain a deeper understanding of the key techniques for managing and mitigating against market abuse risks.


Participants will learn about the common forms of market abuse, including conflicts of interest, information walls, market soundings, market colour, and execution risks, and how to effectively identify, manage, and mitigate these risks.


Through a combination of lectures, case studies, and interactive exercises, participants will gain an understanding of the regulatory framework around market abuse and the consequences of non-compliance. They will also develop effective strategies for managing conflicts of interest, including identifying and disclosing conflicts, implementing information barriers, and managing confidential information.


Participants will learn the principles and best practices for conducting market soundings and providing market colour in a compliant manner, and how to identify and manage execution risks to ensure fair and efficient execution for clients.


Our course will also cover the importance of maintaining accurate records and conducting regular reviews to ensure ongoing compliance with market abuse regulations.


By the end of this course, participants will have the knowledge and skills to effectively manage market abuse risks in their daily work and contribute to a culture of compliance within their organizations.

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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