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. Precedents usually provide clarity but it feels the reverse could be said of some recent prosecutions against firms and individuals for market abuse.
This training pack allows you to train your fellow compliance colleagues as well as your front office, sales, trading and dealing desks on some of the order execution hot topics such as order handling, last look and mark ups. Taking delegates through from when does pre-hedging become front running through to how to help your clients understand your last look and mark ups.
The materials assume limited knowledge about the FCA and 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 13 slides and covers:
- Learning from well known prosecutions
- Grey areas - hot topics
- Tips for handling grey areas
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.
Execution Risks and Front Running Training
This file is in PowerPoint 97-2003 Presentation (*.ppt) format. It is also available from our store in Microsoft PowerPoint Presentation (*.pptx) format.