Market Abuse
Overview
The 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.
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. In this e-learning course, participants will learn the market abuse regulations and the simple steps organisations and individuals can take to make sure they comply with them.
Outline Learning Objectives:
- Help ensure organisational compliance with the Market Abuse Regulations
- Help 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:
If your participants are involved in dealing with stocks and shares or can influence other people who do, this course is for them.