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.
This training pack 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. 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 12 slides and covers:
- What is a market sounding
- When a market sounding becomes an unlawful disclosure
- How to control and manage market soundings
- Market colour
- Establishing strong procedures
- Getting record keeping right
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.