Market Abuse

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. These processes are further supported by this e-learning.

In this e-learning course, you’ll learn the market abuse regulations and the simple steps organisations and individuals can take to make sure they comply with them.

Watch this video for a quick overview of our Market Abuse course.

 

Who is it for?

If you’re involved in the dealing with stocks and shares or can influence other people who do, this course is for you. That may include:

  • All employees
  • Directors
  • Managers
  • Team leaders
  • Supervisors
  • Consultants

Why study this course?

To put it simply, you’ll ensure your compliance with the Market Abuse Regulations. With this course:

  • You’ll help ensure organisational compliance with the Market Abuse Regulations
  • You’ll help ensure personal compliance with the Market Abuse Regulations
  • You’ll improve general compliance within your organisation
  • You’ll help to develop a compliance culture within your organisation
  • You’ll help your company avoid potentially costly litigation and fines

Key facts

Average course duration: 1 hour 20 minutes. Course content broken down as follows:
Interaction
Offline
  • It’s an online e-learning short course
  • Containing four interactive modules
  • Blending text, interaction, graphics and images
  • Get downloadable factsheets
  • Regular on-going testing as you progress
  • A full final assessment with certification

Price: GBP 10.00

Why study with ICM?

Practical courses - This course is designed to help you in the real business world, giving you practical skills that you can quickly and easily implement in the workplace.

Interactive and engaging - Learning doesn’t have to be boring. This multi-media course is designed to keep you engaged throughout.

Step-by-step learning - This course is broken down into easy to manage bite-size chunks. From start to finish we take you on an enjoyable learning journey.

Certificated courses - Employers recognise hard work and you will be awarded an official ICM certificate upon successful completion of your course.

Course content

  • 1Background to Market Abuse

    • See the mistake John made by not complying with the market abuse regulations
    • Identify the different types of market abuse and what can happen when someone doesn’t comply
    • Review the criminal law relating to market abuse and how organisations and individuals are also regulated by the Financial Conduct Authority and possibly the Prudential Regulation Authority and the London Stock Exchange
    • Establish what the different market rules and regulations mean and how they apply
    • Learn the new Market Abuse Regulations that came into force in July 2016
    • Establish the two main crimes related to market abuse and the seven distinct types that the FCA breaks them down into
  • 2Insider Dealing

    • Explore insider dealing in more detail with key examples
    • Complete a full review of what insider dealing is
    • Respond to insider dealing case studies through questions with full summary
  • 3Market Manipulation

    • Complete a full review of what market manipulation is
    • Identify the types of behaviour that could be considered market manipulation. Including nine of the more common approaches
    • Explain the two main approaches of market manipulation
    • Respond to market manipulation case studies through questions with full summary
    • Explore the penalties that can be applied for breaching the regulations, with real life examples
  • 4Reporting Suspicious Transactions

    • Review the responsibility of organisations relating to notifying the FCA in cases of concern and what they must report
    • Establishing the systems and controls that should be in place to identify and report suspicious activity
    • Understanding the types of transactions and market covered by the market abuse regulations
    • Identifying the systems and controls an organisation must have in place
    • Explore personal knowledge of systems and controls through a case study