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Market Abuse Workshop

Understand the legal and regulatory requirements and learn how to build an appropriate control framework

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A half-day course

Market Abuse Training: The Regulatory Environment

  • MAR; What is it? What does it mean? Why does it matter?
  • What it covers and its main offences
  • Systems and controls
  • Links to SMCR expectations – proper standards of market conduct
  • The interconnected nature of MAR, Competition law and Industry standards

Key Behaviours

  • Insider dealing (PAD and why it’s vital to prevention) (Lyttleton)
  • Improper disclosure (Hannam)
  • Manipulating transactions/devices (LIBOR)
  • Encouraging (Ammann)
  • Market Manipulation
  • Dissemination
  • Misleading behaviour and distortion

Key Focus Areas and Practical Considerations

  • Prohibitions
  • Benchmarks
  • Colluding
  • Market open/close (Goenka)
  • Profiting from voicing an opinion
  • Insider Trading Investigations (Tabernula)
  • Pre and post-trade considerations


Indications of Execution Market Manipulations

  • Market abuse training covers Abusive Squeezes
  • Wash Trades
  • Painting the tape
  • Phishing
  • Ping Orders
  • Marking the close
  • Pump and Dump
  • Layering and Spoofing
  • Trash and Cash
  • Colluding in the after-market of an IPO
  • Placing orders with no intention of executing

Case Study Analysis

  • Recent fines, activities and regulatory comments to include:
    • Horn (Stifel)
    • Gamestop
    • Abbattista (Fenician Capital Management)
    • Gorman (Braemar)
    • Gent (ConvaTec)
    • Citigroup
    • Sigma Broking Ltd.


  • Open forum

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.

Market abuse training includes the following:
  • 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 will gain the necessary insight required to put into practice throughout this market abuse course.

  • At Redcliffe Training, our market abuse workshop is broader than just MAR (Market Abuse Regulation) compliance. We examine the full landscape of market abuse 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 market abuse training.

Whilst built on UK legal and regulatory requirements, at Redcliffe Training we customise 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

At Redcliffe, Market Abuse Regulation training is delivered by a time-served expert with dedicated industry experience. 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 necessary associated facets.

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

  • The trainer was excellent. He had a great personality and was friendly, informative and professional at all times. The content was in depth and easy to understand.
  • The instructor covered the regulatory landscape as well as a number of market abuse landscape. He also give directions on where to gather market abuse data.
  • The trainer was personable and very knowledgeable. I enjoyed the course.

Have this course presented In-House

  • On a date, time and in a location of your choice
  • Topics expanded or deleted to your bespoke requirements

Have this course pre-recorded

  • Full course recording edited exclusively for your company
  • Files converted to enable housing on your LMS
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