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Overview
In this Market Abuse and Insider Trading course, employees will learn the market abuse regulations and the simple steps organisations and individuals can take to make sure they comply with them.
This course will benefit all those who need a comprehensive understanding of the criminal and civil market abuse and insider dealing regime and how it impacts the financial services industry. The course will help those attending to understand the expectations of the regulator and assist them to manage the market abuse risk within their business.
Course Objectives
If employees share inside information, or use it to buy or sell shares, they are likely to be breaching Insider Trading rules and could face severe reputational, legal, and professional consequences. That is why employees need rigorous and thorough compliance training on Insider Trading.
Insider Trading is aggressively investigated and prosecuted. It is heavily regulated, monitored, and punished. It is one of the most aggressively investigated and prosecuted areas of trading law.
Content
What is Insider Trading and Market Abuse
- The regulations and the law
- Historical Context
- The Legislation
- The Approach of the Regulator
Consequences of Insider Trading and Market Abuse
Material non-public information
Designations, restrictions and trading windows
Insider Dealing & Unlawful Disclosure of Inside Information
- Safe Harbours
- Legitimate Behaviour
- Market Soundings – Requirements
Market Manipulation
- Safe harbours
Other Requirements / Preventative Measures
- Public Disclosure of Inside Information and Ability to Delay
- Insider Lists – New Requirements and Harmonisation of Content
- Suspicious Transactions and Orders Reports (STORS)
- Restrictions and Notifications
You will learn how to
- Ensure organisational compliance with the Market Abuse Regulations
- Ensure personal compliance with the Market Abuse Regulations
- Improve general compliance within your organisation
- Help to develop a compliance culture within your organisation
- Help your company avoid potentially costly litigation and fines
Audience
This course will benefit all those who need a comprehensive understanding of the criminal and civil market abuse and insider dealing regime and how it impacts the financial services industry. The course will help those attending to understand the expectations of the regulator and assist them to manage the market abuse risk within their business.
Classroom and Virtual training options
Online Course Materials
Duration
1 hour
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