TRAINING > MARKET CONDUCT

Market Conduct

Observing proper standards of market conduct is crucial as it supports trust amongst market participants and enhances the integrity of markets. Preventing, detecting and punishing market abuse is a high priority for most regulators, particularly the FCA in the UK.

We provide a wide range of training on aspects of market conduct, including recognised industry codes.

Below are details of some of our more popular courses with outlines of what these cover.

Introduction to Market Abuse

This course is for both front office and support functions who need to understand the market abuse regime in the UK.

60 minutes

This course covers the:

regulations covering market abuse
different types of market abuse offences
sanctions for committing market abuse

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FCA and Market Abuse

This course is primarily for compliance professionals although many front office personnel have also benefited. It teaches delegates how to handle the FCA and provides deeper insights into how the FCA approaches its anti market abuse responsibilities.

2 hours

This course covers:

How FCA regulates and supervises market abuse
Market abuse related reporting obligations
Handling an FCA visit
Handling a potential market abuse situation

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Managing and Mitigating Market Abuse

This course is for both front office and support functions wanting to gain a deeper understanding of the key techniques in managing and mitigating against market abuse.

3 hours

This course covers:

Identifying and managing conflicts of interest
Information walls
Taking or receiving market soundings
Providing market colour
Execution risks

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The Global FX Code

We run this course in partnership with the trading on forex in the uk training experts, The Corellian Trading Academy, whose courses teach people who want to learn to trade forex. This course is for FX market participants wanting to gain a deeper understanding of the delta required to commit to the Code and the benefits of doing so.

half day to two days

This training usually covers:

Background to the code
About the Code
Who the Code applies to
Regulatory status
The principles
What's involved in committing to the Code
Implementation challenges

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Looking for something specific?

Let us know and we can discuss tailoring a course just for you.

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Market Conduct

Suggested Course Content

Introduction to Market Abuse

FCA and Market Abuse

Managing and Mitigating Market Abuse

The Global FX Code

Looking for something specific?