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Market Abuse

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. 


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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 SMCR, senior managers need to ensure there is ongoing vigilance in respect of market abuse in their firms, including understanding what it means, their obligations to demonstrate awareness and adherence throughout their staff and their appropriate introduction of relevant systems and controls.

Who Should Attend 

Market Abuse risk impacts many firms, in particular regulated and listed companies who should ensure staff have the appropriate knowledge and expertise to identify, assess, manage and monitor the relevant risks. 

Relevant staff roles for this training beyond investment staff at authorised firms and funds include Risk and Compliance, Operational teams and support staff, oversight roles and Management. 


Training Objectives

By the end of the programme, participants will: 

 • Understand the regulatory drivers and priorities 

 • Recognise the main offences and behaviours 

 • Consider the factors you should promote to build reasonable procedures to manage market abuse risk in your firm 

 • Understand key market abuse typologies and the relevant surveillance methods to best detect them 

 • Appreciate varying methodologies via a review of recent fines and case studies 


Training Outline  

 • Introduction – the regulatory environment 

 • Key behaviours

 • Key focus areas and practical considerations 

 • Indications of execution market manipulations 

 • Case Study Analysis

Industry Expert | Steve Fairclough

Steve began his financial services career in 1993 and has over 20 years practical training experience across a range of sectors and topics.  He is a former Head of Education for HSBC covering the UK and Europe, responsible for regulatory and financial crime related compliance learning.  His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement.  Other roles include leading the Monitoring and Testing programme for a UK Wealth Manager, and Senior Vice President responsible for Global Risk & Compliance training at a US-based bank.  He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook.

The HSBC role, along with five years at Barclays in their Private Clients and Wealth functions, has seen Steve work with retail, commercial, wholesale and private banking channels.  Since leaving HSBC, Stephen has worked with the compliance, HR and operational teams of firms to enhance their regulatory understanding, as well as delivering content across private equity firms, investment houses, banks and wealth managers.  He regularly delivers core programmes for TISA and the Investment Association.

Steve is a former member of the Investment Management Association Training & Education Committee and won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010.

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