Category: Regulation and Compliance
Course Level: Intermediate
Duration: 2 hours
Contact us for more information.This workshop provides a fast-track introduction to the lesgislation and regulations relating to Market Abuse and insider dealing.
Objectives:
By the end of the workshop, delegates will have a better understanding of:
- Market Abuse Directive (MAD)
- Differences between the UK regime and the EU MAD
- What constitutes market abuse
- How the FSA enforces the regime
- Penalties
- Potential defences and the Market Code
- Responsibilities of the individual
Course Content:
- What is market abuse?
- What are the criminal offences?
- Market Abuse Directive
- Code of Market Conduct
- What are the penalties?
- Safe harbours
This course would be suitable for:
- Approved Person
- HR and training
- IT and software developers
- Legal & Compliance
- New entrants
- Senior managers
