Market Abuse Regulation Training Course

The laws and regulations prohibiting market abuse apply to all employees, not only those engaged in front-office, client dealing or trading roles.

That is why it is important that all staff know and understand the procedures to prevent market abuse.

Our Market Abuse Regulation Course will help your employees understand how to comply with laws that protect investors and safeguard financial market integrity.

About this Course

Available as part of our Compliance Essentials Library and Global Compliance Library.

Learning Objectives

This course will prepare your employees to:

Recognise the types of behaviour classed as market abuse
Take appropriate action to avoid dealing on the basis of inside information and prevent its unlawful disclosure
Act with integrity and honesty to avoid market manipulation
Observe the market rules in relation to insider lists, disclosure of managers' deals, research disclosures and safe harbours
Know when and how to report suspicious transactions and blow the whistle

Latest Course Updates

Course redesigned with a more modern feel
Full review conducted by a UK MAR expert
Text & image updates throughout the course
10 updated news stories to illustrate key UK MAR issues
9 updated activities & scenarios
Assessment completely recreated with 47 questions

Course Outline

Introduction

What is Market Abuse?

- Types of market abuse
- Is this a serious crime?
- You make the call: Is this market abuse

UK Market Abuse Regulation

- Scope of MAR
- You make the call: Scope

Insider Dealing Offence

Unlawful Disclosure of Inside Information Offence

Market Manipulation Offence

Impact beyond the key offences

- Enforcement

Market Abuse Scenarios

Scenario: Frank's Sell Order

- Frank has a change of heart
- Is the broker liable?

Scenario: Aliyah Cancels an Order

Scenario: Terry's Market-making

- Using client order information
- Chinese walls

Scenario: Jeffrey's Takeover Bid

- Contract for difference
- Changing the bid based on inside information
- Third-party solicitation

Scenario: Jason's Profitable Tips

- Acting on a news alert

Scenario: Gilbert's Tips

- Acting on an acquisition tip

Scenario: Seema's Short Position

- Agreement to squeeze

Scenario: Pia's Price Positioning

- Off-market transaction

Scenario: Natalie's Tax Driven Trades

- Pricing to avoid taxes

Scenario: Bjorn's Printing Dilemma

Scenario: Viktor's commodity trades

- Impression of scarcity
- Buying to cover a short

Summary

Affirmation

Assessment

Course Specifications

Structure

Approximately 45-minute long e-learning course followed by a 10-question assessment.

Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience required.

Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via your client style sheet.

FastTrack Option

Ability to offer optional test-out, whereby users can choose to skip the course content and complete the learning assignment simply by passing the assessment.

Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.