Market Abuse Workshop

At Redcliffe Training our Market Abuse Workshop is delivered by a specialist with over 20 years of experience in compliance and risk management. He has led European and Global functions in Wealth Management divisions, custodians and global banks making him a knowledgeable asset to the course.

An ex-regulator, he specialises in regulatory and financial crime compliance and has provided consultancy to retail, private and commercial banking operations alongside fund managers and investment houses.

This Market Abuse course includes:

• A focus on market abuse risk in the current environment; what it is, what it means and why it matters.
• Case study analysis – what we can learn from cases that have directly impacted our industry.
• Participants gain the necessary insight required to put into practice what they learn both during market abuse training and long after

• At Redcliffe Training, our workshop is broader than just MAR (Market Abuse Regulation) compliance. We examine the full landscape during this market abuse course, investigating exactly what this is, what it means and why it matters.
• We consider key market abuse techniques and how to remain vigilant.
• Participants cover regularly updated case studies, focus on what happened and interpret the regulatory commentary.
• How to review and assess your current practices to deliver market abuse compliance.
• Practical and insightful takeaways are included throughout.

Whilst built on UK legal and regulatory requirements, at Redcliffe Training we customise our market abuse course content to suit multiple international audiences and have engaged with clients operating under German, Swiss and Dutch frameworks. We can remove all UK references and focus on Market Abuse and Effective Countermeasures in another specific regulatory environment. Alternatively, we can take a neutral regulatory approach, as required.

This Market Abuse workshop is essential for:

• Investment staff within authorised firms and funds
• CCOs and Compliance staff
• Relevant operations and support staff

Market Abuse Regulation training is delivered by a time-served expert with dedicated industry experience. At Redcliffe Training, course content can be customised based on the needs of you and your team.

The Market Abuse Regulation (MAR) was introduced in July 2016 and the FCA continues to fine both individuals and high-profile firms in the fund industry for breaches. Along with the focus on increased accountability under the SMCR (Senior Managers and Certification Regime) regulation, senior managers need to ensure there is ongoing vigilance in respect of risk within their firms. This includes understanding what it means, their obligations to demonstrate awareness and adherence throughout their staff and the appropriate introduction of relevant systems and controls.

Market abuse training covers all the necessary associated facets.

Course Format

• Duration is as a half-day classroom style format that will be interactive based on subject content
• Training can also be made available as an online webinar series