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. The Market Abuse Regulation tightened up on how firms went about market soundings.
Our Market Soundings and Market Colour Training Slides and Script allows you to train your fellow compliance colleagues as well as your front office, sales, trading and dealing desks on how to take and receive soundings, and how to safely provide market colour that is useful and relevant to your clients.
Taking delegates through from what is a market sounding through to some good practice tips for controlling and managing market soundings. The materials assume no knowledge about the FCA or market abuse.
Contained within your digital download are:
- A verbatim script for your trainer to read
- Explanations of key regulatory terminology in a business context
- Examples of how to control and manage market soundings
- Definitions of key terms
- Reiteration of key messages about basic compliance requirements such as record keeping
A train the trainer session can be booked separately by completing a Training Request.
Market Soundings and Market Colour Training Slides and Script
This product is a Microsoft PowerPoint Presentation (*.pptx)