Financial Crime:
Market Abuse Training for UK Investment Firms
The price for this course: $60.00
Financial Crime:
Market Abuse Training for UK Investment Firms
The price for this course: $60.00
60 mins
1 point
This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression.
At the end of the course the user should be able to:
- Understand the concepts of civil and criminal market abuse
- Identify the framework in place to manage and mitigate market abuse risks
- Consider how this framework applies to the firm and to the user’s role and responsibilities
This course is suitable for anyone that works for a FCA-regulated Investment Firm. It can be used as both an induction course, for example for new staff members, and a refresher course.
Purchasing, Onboarding & Volume Discounts
Course Outline
-
Introduction to Financial Crime
-
Introduction to Market Abuse
- Introduction
- Check your understanding -
The Civil Regime – Introduction to the various offences
- Various offences
- What instruments are in scope?
- Check your understanding -
Insider Dealing
- What is Insider Dealing?
- What is inside information?
- Some examples of inside information
- What constitutes insider dealing?
- Being in possession of inside information
- Check your understanding -
Unlawful Disclosure of Inside Information
- What is unlawful disclosure of inside information?
-
Market Manipulation
- What is market manipulation?
- Types of market manipulation
- Check your understanding -
The UK Criminal Market Abuse Framework
- Introduction
- Criminal Insider Dealing
- Criminal market manipulation
- Check your understanding -
An Investment Firm’s typical response to Market Abuse
- Introduction
- Governance, systems and controls framework and risk assessments
- Market Abuse Risk Assessment
- Responding to specific market abuse incidents
- Check your understanding -
The FCA’s approach to Market Abuse
- The role
- Supervision, Prevention and Detection
- Enforcement and prosecution
- Communications to firms
- Personal Conduct
- Bringing it all together -
Quiz
- 80% Pass Mark
-
Conclusion
- Recap
- Downloadable Certificate
The price for this course:
$60.00
Complete this form and we'll contact you shortly with a quote:
Coupon applied at checkout