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. Information Walls provide a key control for inside information and unlawful disclosure.
This training pack allows you to train your fellow compliance colleagues as well as your front office, sales, trading and dealing desks on the basics for information walls. Taking delegates through what they are through to how to erect a wall when there’s only 10 of us, and how to deal with the occasional accidental failure of the wall.
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:
- Basics about information walls\ barriers
- Lists and other tools
- How these might work in smaller firms
- Wall crossing
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.