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 training session that covers how the FCA carries out a visit relating to 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 the FCA approach to onsite and remote visits. Taking delegates through some of the basics about the FCA relationship right through to managing the interview and system walk throughs. 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 15 slides and covers:
- A step by step through the visit process
- What FCA will be looking for
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.
Handling an FCA Market Abuse Related Visit Training
This file is in Microsoft PowerPoint Presentation (*.pptx) format. It is also available from our store in PowerPoint 97-2003 Presentation (*.ppt) format.