Preventing, detecting and punishing market abuse is a high priority for the FCA. It protects consumers, enhances the integrity of markets and promotes competition. This is a masterclass in twelve volumes on the market abuse regime. It starts with a basic session on market abuse and builds up through all the core topics such as information walls, reporting, and surveillance. It even covers some of the more complex regulatory prosecutions around execution and front running.
This masterclass allows you to train your fellow compliance colleagues as well as your front office, sales, trading and dealing desks. Taking delegates through some of the basics right through to the practical things that they can do to make sure they meet the FCA requirements and best practice. The materials assume some very basic knowledge about trading and dealing. It deliberately avoids using regulatory references and explains key regulatory terminology in a business context so that it is comprehensible to those outside of regulation and compliance.
The speaker's notes are written as a verbatim script you can read word for word and deliver a good quality session. Included are additional notes in square brackets for the speaker to facilitate discussion with delegates.
The slides use basic Microsoft PowerPoint objects and colours that are editable. So you could easily apply your corporate branding or PowerPoint formats. The slides in this masterclass also include some colourful diagrams and images using Microsoft PowerPoint SmartArt to make the training more accessible to your audience.
The masterclasss comprises 136 slides and covers:
- Market abuse 101
- FCA approach to market abuse
- Handling an FCA market abuse related visit
- Market Abuse reporting obligations
- Market abuse themes
- Ways of detecting and preventing market abuse
- How to manage a potential market abuse situation
- Conflicts of Interest
- Information Walls
- Market Soundings \ Colour
- Execution Risks and Front Running
- Role of Industry Codes
Slides and speaker notes are fully editable by you with standard MS Office fonts and graphics.
The pack should be relatively straightforward for someone outside the UK, and not familiar with the UK regime, to follow and deliver. A train the trainer session can be booked separately by completing a Training Request.
You can also purchase each volume individually.