The Market Abuse Fundamentals Course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective. All our courses are delivered by experts in the regulatory field.
There are various course dates available throughout 2019.
15 March 2019
09 May 2019
05 September 2019
13 December 2019
The foundation course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective, including:
Evolution of the UK market abuse regime
Importance of market conduct and integrity
Structure of the legislation
Application – who is obligated, what financial instruments, what markets
Scope and exemptions
Breaches and penalties
Inside information and insider dealing
Public disclosure of inside information
Relevant case studies
Systems and Controls
Prevention and detection of market abuse: Best practice measures and regulatory expectations
Market abuse risk assessments
Automated and manual surveillance arrangements
Suspicious transaction and order reports (STORs)
Typical signs of market abuse and potential red flags
Relevant case studies
Who is this course suitable for?
This course is suitable for anyone who is involved with trade or transaction reporting.
£600 plus VAT (UnaVista client rate)
£800 plus VAT (non-UnaVista client rate)
NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.
Other courses you might be interested in
UnaVista and the London Stock Exchange run a number of other courses on both financial regulation and the UnaVista platform, please check the website for the most up to date times.
Please contact us on +44 (0)20 7797 1214 for further details on our products and services.
Can't attend this time? Register your interest here for the next Transaction Reporting Foundation Course.
Before booking, please ensure you have read our cancellation policy.
In the unlikely occurrence that any of our training events have to be cancelled or postponed due to circumstances beyond our control, we cannot be held responsible for any costs incurred by the event attendee.The London Stock Exchange Group does not accept responsibility and expressly excludes liability to the fullest extent permitted by law for:
any loss or damage to any personal property left unattended during an event organised by the the London Stock Exchange Group unless caused by the negligence of the The London Stock Exchange Group or its employees; or
death or any personal injury suffered by you at a the London Stock Exchange Group event unless caused by the negligence of the London Stock Exchange Group or its employees.
UnaVista is London Stock Exchange Group's global hosted platform for all matching, validation and reconciliation needs. It offers a range of business solutions through one interface designed to help firms become more efficient and reduce operational and regulatory risk across all asset classes. Services include: Regulatory solutions UnaVista is the only approved EMIR Trade Repository and MiFID Aproved Reporting Mechanism. Over 700 customers report more than a 1.5 billion transactions per year ...
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