Market Abuse Fundamentals
Gain solid foundational knowledge about Market Abuse Regulations (MAR) and understand recent regulatory actions against firms and individuals (and how to avoid it) with our MAR Fundamentals course.
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Learning Outcomes
This training course will give you a strong foundation in the Market Abuse Regulations (MAR) requirements, confidence about how to operate within the MAR guidelines, and an understanding about why regulators intervene when they do and the impact those interventions can have on the business and individuals involved .
We use scenarios to allow delegates to evaluate possible courses of action and their consequences. This will deepen delegates knowledge about handling areas where the regulators have given less guidance.
You will learn:
- What the Market Abuse Regulations cover - key principles and rules
- When you need to flag concerns to compliance
- How you can be seen to be wrong when you’re not
- The regulatory toolkit and its impact
- The relevance of individual accountability regime to handling confidential information
Who should attend
This course is open to all levels within financial services and listed companies including:
- Compliance personnel
- Regulatory change teams
- Sales staff
- Traders and dealers
- Risk Officers
- Internal auditors
- COO personnel
- Technology personnel
- Company secretaries
- Board members
About the Instructor
Katharine is a regulatory compliance consultant within Leaman Crellin Limited with a background in both professional practice and the financial services industry. With over thirty years of experience in regulatory risk and governance within the banking, insurance, and distribution, financial services industries, including the FCA. She is a highly experienced compliance expert with an executive leadership background experienced in running compliance functions in banks and dealing with FCA requests and supporting banks in remediating issues identified by the regulators. Katharine regularly trains teams at major banks on regulatory matters.Course Overview
Our three modules
Module 1
The market abuse offences;
What is, and is not, inside information;
Managing inside information;
The various forms of market manipulation Module 2
The regulatory toolkit;
How the regulators approach potential cases of market abuse;
What the regulators expect from regulated firms Module 3
Use of social media;
Examples of regulatory action around the world;
Current areas of regulatory focus Why Choose A-Team Group Training?
Established in 2001, A-Team Group has long been educating the financial technology industry about important topics, ranging across business areas such as market data, trading technology, data management, ESG data and technology, and regulatory technology (including various aspects of MAR and surveillance) through its dedicated RegTech Insight news service and RegTech Summits.
We are partnering with seasoned executives to bring deeper training to the industry and are proud to offer this timely and highly valuable MAR accredited foundation course to you, in collaboration with compliance expert Katharine Leaman.
“A-Team Group continues to deliver high value, insightful information to our industry and this new initiative to provide relevant and valuable training courses on the hottest topics in industry is a welcome development,” says David Cowland, Independent RegTech Advisor and Former Head of Compliance Operations.
FAQs
I have a whole team or department I’d like to register, can you help me?
Yes. Please get in touch with our team at training@a-teamgroup.com and we can help make the process easy for you!
What other courses can I do with you?
A-Team Group is partnering with a range of knowledgeable and experienced industry practitioners to bring you further industry training such as this one. Take a look at our ESG Foundation course here and our quarterly Insider’s View from Brussels virtual briefings here. We’re also working on plans for courses on Digital Operational Resilience Act (DORA), Markets in Crypto-Assets Regulation (MICA) and more. To find out more or to pre-register your interest, please email training@a-teamgroup.com.
What other options do you have for me to learn more about Market Abuse and other regulations impacting financial services?
A-Team Group provides a wealth of content, events and webinars focused on regulatory changes and the impact on financial services. You can become a member of our RegTech Insight news service to receive regular updates or read more here. We host RegTech Summit events each year – find out more here. You can also download our free Regulatory Data Handbook here and other Handbooks here, and register for any upcoming webinars (or listen to past ones) here.
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