Certified training course to provide operations and compliance staff with a thorough grounding in the Market Abuse Fundamentals regime (MAR).
Next upcoming course
12 December 2024
1.00pm – 5.00pm
Course location
This course will be delivered remotely using Microsoft Teams.
Event details
The Market Abuse Fundamentals Course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective.
All our courses are delivered by experts in the regulatory field.
Course outline
The foundation course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective, including:
Background
- Evolution of the UK market abuse regime
- Importance of market conduct and integrity
- Structure of the legislation
Market abuse criminal regime
- Insider dealing
- Market manipulation
- Criminal sanctions
Market Abuse Regulation (MAR)
- Application – who is obligated, what financial instruments, what markets
- Scope and exemptions
- Breaches and penalties
- Inside information and insider dealing
- Public disclosure of inside information
- Insider lists
- Market soundings
- Market manipulation
- Managers’ transactions
- Investment recommendations
- Whistle-blowing
- Relevant case studies
Systems and Controls
- Prevention and detection of market abuse: Best practice measures and regulatory expectations
- Market abuse risk assessments
- Automated and manual surveillance arrangements
- Suspicious transaction and order reports (STORs)
- Typical signs of market abuse and potential red flags
- Relevant case studies
Course dates:
- 28 February 2024 (9.00am - 1.00pm)
- 25 April 2024 (1.00pm - 5.00pm)
- 28 June 2024 (9.00am – 1.00pm)
- 8 August 2024 (1.00pm – 5.00pm)
- 3 October 2024 (9.00am – 1.00pm)
- 12 December 2024 (1.00pm – 5.00pm)
- Further dates to be added. We can also schedule courses on demand – please email us with your requirements.
This course has been accredited and CPD endorsed by the Chartered Institute for Securities & Investment. The course has also been accredited by the CPD Certification Service.
A full PDF of the course notes is sent to delegates after the session
Before booking, please ensure you have read our cancellation policy.
If you have any questions please contact us on the following email address: RegReportingTraining@lseg.com
Tammy Li
Director, Financial Services Compliance and Regulation, Kroll
Tammy is a Regulatory Consulting Director at Kroll with over 16 years’ experience in the Financial Services industry. At Kroll, Tammy focuses on operational and regulatory consulting, assisting a vast range of global investment firms with the practical challenges they face to comply with their regulatory obligations. In particular, Tammy specialises in helping firms strengthen their Market Abuse frameworks, including designing and implementing tailored market abuse risk assessments across asset classes and business units, assessing the effectiveness of policies, systems, and controls across first and second lines of defence to prevent and detect market abuse, and preparing and delivering bespoke market abuse training to clients.
Regulatory Reporting clients: £600 (+VAT)
Non-client rate: £800 (+VAT)
NB: Regulatory Reporting clients will be invoiced the fee. Non-Regulatory Reporting clients can pay by credit card.
