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. You know that preventing, detecting and punishing market abuse is a high priority for the FCA but what happens when you spot something within your firm?
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 go about your internal investigation, managing the regulator and what to do if you’re not looking at a false positive. Taking delegates through what an internal investigation should cover and how to manage the regulator.
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 9 slides and covers:
- What FCA expects from you
- What your internal investigation should cover
- Managing the outcomes
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.
How to Manage a Potential Market Abuse Situation Training
This file is in Microsoft PowerPoint Presentation (*.pptx) format. It is also available from our store in PowerPoint 97-2003 Presentation (*.ppt) format.