market abuse online learning

Market Abuse – Online Learning

The Market Abuse Regulations are in place to prevent people with insider information from using that information to gain advantage in the markets. With this e-learning course:

  • Facilitate organisational compliance with the Market Abuse Regulations
  • Demonstrate personal compliance with the Market Abuse Regulations
  • Improve overall compliance within the organisation by identifying areas of non-compliance, implementing corrective actions, and fostering a culture of adherence to regulations
  • Contribute to the development of a compliance culture within the organisation by promoting ethical behavior, transparency, and a commitment to following regulatory guidelines
  • Help your company avoid potentially costly litigation and fines

Course Introduction

The Market Abuse Regulations prohibit insider dealing and unlawful disclosure of inside information, and market manipulation. This compliance e-learning for market abuse is critical for individuals and the organisations they represent. It helps protect them from costly mistakes that could result in fines or even imprisonment.

This Market Abuse e-learning course focuses on this important regulation and helps ensure costly mistakes related to investing in stocks and shares are avoided.

Dealing in stocks and shares can be a risky business and traders deserve to conduct business in a fair and honest marketplace. This means the perpetrators of dishonest practices face severe penalties.

The two types of market abuse are insider dealing and market manipulation. These are serious criminal offences that can lead to fines and imprisonment. It is important to recognise this and avoid doing anything illegal.

Firms must have proper controls and procedures in place to prevent, identify and report market abuse. These processes are further supported by this e-learning.

In this online learning, participants will learn the market abuse regulations and the simple steps organisations and individuals can take to make sure they comply with them.

Course Content

Module 1 ­­– Background to Market Abuse
  • See the mistake John made by not complying with the market abuse regulations
  • Identify the different types of market abuse and what can happen when someone doesn’t comply
  • Review the criminal law relating to market abuse and how organisations and individuals are also regulated by the Financial Conduct Authority and possibly the Prudential Regulation Authority and the London Stock Exchange
  • Establish what the different market rules and regulations mean and how they apply
  • Learn the new Market Abuse Regulations that came into force in July 2016
  • Establish the two main crimes related to market abuse and the seven distinct types that the FCA breaks them down into
Module 2 ­­– Insider Dealing
  • Explore insider dealing in more detail with key examples
  • Complete a full review of what insider dealing is
  • Respond to insider dealing case studies through questions with full summary​
Module 3 ­­– Market Manipulation
  • Complete a full review of what market manipulation is
  • Identify the types of behaviour that could be considered market manipulation. Including nine of the more common approaches
  • Explain the two main approaches of market manipulation
  • Respond to market manipulation case studies through questions with full summary
  • Explore the penalties that can be applied for breaching the regulations, with real life examples
Module 4 ­­– Reporting Suspicious Transactions
  • Review the responsibility of organisations relating to notifying the FCA in cases of concern and what they must report
  • Establishing the systems and controls that should be in place to identify and report suspicious activity
  • Understanding the types of transactions and market covered by the market abuse regulations
  • Identifying the systems and controls an organisation must have in place
  • Explore personal knowledge of systems and controls through a case study
Module 5 – Assessment and CPD certificate
  • A chance to test your knowledge of the topic with scoring
  • The e-learning course comes with free CPD certificates for the learners​

Customisable

All content can be adapted and altered to suit your needs. Courses are white-label as standard, but can include logos and branding where required. We can also provide AI generated language translations on demand.

Updates

All content is regularly reviewed and updated to ensure technical accuracy, best practice and legal compliance for your learners. Updates are all automatically made to content.

Certification

Your employees will receive personalised and dated certificates upon successful completion of our CPD certified e-learning courses. All courses have relevant accreditations.

Integration

Deliver e-learning courses via your own branded learning portal provided by us or upload our regularly updated courses to your own LMS if you would prefer.

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