This workshop will demonstrate how an asset manager or trader might seek to make gains or to reduce losses, either personally, for a portfolio, or for another, by breaking the rules set down in the Market Abuse Regulation (MAR).
The workshop will look at the main areas covered in MAR and put them in to relate them to possible real-life situations, including the use of jargon used in front offices.
The objectives are to provide delegates with:
- An understanding of how an asset manager/trader could seek to benefit given specific situations.
- Ideas on how trade surveillance and electronic communications can be used in each instance to monitor and control illegal activity.
- An opportunity to benchmark the relevant systems and controls in place at their firm, particularly via a market abuse risk assessment (MARA).
- An understanding of two leading FCA enforcement cases relating to trade surveillance.
These are the key areas the workshop will seek to cover with topics discussed being further driven by the participants.
- Spoofing and Layering
- Front Running Orders
- Insider trading
- Cartels and Social Media
- Trading at off market prices
- Fixing the Rate
- Starting Rumours
- System Errors
This workshop can also take place at your office and be tailored to your specific requirements.
Course aimed at: The delegates that will be interested to attend will be those working in Compliance or Internal Audit and the back office (Operations)
If you would like to discuss your training requirements in more detail please contact Graham Dix on +44 (0)20 7484 3987 or your usual ACA consultant.