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.
Learning Outcomes
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.
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.
About Your Trainer
Emily Wright
With over 20 years navigating the complexities of financial services across global investment banks and brokerage firms in London, Hong Kong, and Singapore, Emily brings a wealth of experience to your ecomms surveillance challenges. Her leadership as a Managing Director at Standard Chartered Bank exemplifies her ability to tackle intricate issues.
Emily's deep understanding of regulations like the EU’s Market Abuse Regulation (MAR), Information Barriers, and Suitability extends specifically to their application within ecomms surveillance. She has a proven track record of managing complex change initiatives, implementing cutting-edge compliance technologies, and establishing robust governance frameworks. Her expertise encompasses best-practice processes, procedures, and controls to ensure regulatory compliance and mitigate operational risk.
As a published author of "Behind the Screens," Emily offers valuable insights into effective ecomms surveillance techniques, their limitations, and potential areas for improvement.
Beyond surveillance, Emily's HR background equips her with additional expertise in Diversity & Inclusion, navigating organisational change, fostering a strong Culture & Conduct environment, and providing tailored Executive Coaching. This holistic approach, combined with her ecomms surveillance specialism, positions Emily to deliver impactful consultancy services that address your firm's specific needs.