EU Market Abuse

There are 3 core objectives of this interactive e-learning course:

• Gain a basic understanding of the concept of market abuse and the different components it has

• Gain an appreciation of the main themes within the market  abuse regulation and criminal sanctions for market abuse directive

• Look at the potential impact that non compliance with the laws could have on organizations. This is quite important as it helps to put into perspective the seriousness of the offences outlined in the regulation and local transposition.

At the end of this training, participants will be able to:

·       Understand the concept of market abuse and distinguish its main forms, including insider dealing, unlawful disclosure of inside information and market manipulation.

·       Explain the objectives and key provisions of the EU Market Abuse Regulation (MAR) and the Criminal Sanctions for Market Abuse Directive (CSMAD).

·       Identify the obligations of financial institutions and employees in preventing, detecting and reporting market abuse.

·       Recognise the roles and responsibilities of market participants in ensuring compliance with the applicable regulatory framework.

·       Assess the legal, regulatory and reputational risks associated with market abuse and non-compliance.

·       Apply the acquired knowledge to identify situations that may give rise to market abuse risks in day-to-day professional activities.

• Background

• Scope

• Inside information

• Market abuse indicators

• Additional issues

• Safe harbors

• Sanctions & Penalties

• Control framework

• Reporting

It is suitable for all employees working within financial services who need to gain an understanding of market abuse.

There is a knowledge check with 10 questions at the end of the course with a standard pass mark of 80% and unlimited attempts.

The 10 questions are drawn randomly from a larger bank of questions. Each attempt will draw a different mix of questions.

+/- 2 h (licence remains active for 6 months)

The E-Learning is available in both English and French, with the language selection made upon login.