Preventing, detecting and punishing market abuse is a high priority for every firm. It protects your clients, enhances the integrity of your firm as it operates in the markets and keeps you in the competition. But how do you detect and prevent market abuse from happening in your organisation which may not have vast resources and big teams dedicated to specific controls?
This training pack allows you to train your fellow compliance colleagues as well as your front office, sales, trading and dealing desks on the key controls for detection and prevention of market abuse including surveillance, use of control rooms and whistleblowing. Taking delegates through some of the basics about the purpose of surveillance through to the importance of encouraging and protecting whistle blowers.
The materials assume no knowledge about the FCA or market abuse. 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.
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 training pack comprises 10 slides and covers:
- Industry standards
- Types of surveillance and technology
- Cases and lessons learned
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.
Ways of Detecting and Preventing Market Abuse Training
This file is in PowerPoint 97-2003 Presentation (*.ppt) format. It is also available from our store in Microsoft PowerPoint Presentation (*.pptx) format.