Market Abuse Training for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression. 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.

Course syllabus:

  1. Introduction to Financial Crime

  2. Introduction to Market Abuse

  3. The Civil Regime – Introduction to the various offences

  4. Insider Dealing

  5. Unlawful Disclosure of Inside Information

  6. Market Manipulation

  7. The UK Criminal Market Abuse Framework

  8. An Investment Firm’s typical response to Market Abuse

  9. The FCA’s approach to Market Abuse

  10. Quiz

  11. Conclusion