Preventing, detecting and punishing market abuse is a high priority for the FCA. It protects consumers, enhances the integrity of markets and promotes competition. Reporting forms a cornerstone of the FCA’s ability to detect and prevent market abuse. FCA has repeatedly expressed its disdain at the quality of firms regulatory reporting. This training pack covers the key areas of regulatory reporting under the market abuse regime: STORs, PDMRs, Delaying disclosure of inside information, and, Buy-back transactions and stabilisation activity notification.
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 different types of reporting obligations, where these originate and what the FCA expects. 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 8 slides and covers:
- Persons Discharging Managerial Responsibilities (PDMRs)
- Buy-backs and Stabilisation
- Suspicious Transaction and Order Reports (STORs)
- Delaying Disclosure of Inside Information
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.
Market Abuse Reporting Obligations Training
This file is in Microsoft PowerPoint Presentation (*.pptx) format. It is also available from our store in PowerPoint 97-2003 Presentation (*.ppt) format.