With the FCA operational objectives and current business plan continuing to include "Integrity" and "Consumer Protection" it comes as no surprise that each year we see enforcement action against organisations and individuals for offences relating to market abuse.
So questions arise:
- Why are firms and individuals still getting it wrong? and;
- What should they be doing to get it right?
This webinar will start the process of seeking out the answers by looking at what has gone wrong and by posing some relevant questions, such as:
- Is the link between the FCA objectives and senior management obligations understood?
- How does market abuse fit into the above?
- What are the behaviours that can amount to market abuse?
- What tools are the FCA using to identify and prevent market abuse?
- Are you confident that trade surveillance at your firm is effective?
- What other controls are typically in place in firms to manage the risk and to assist the FCA in achieving its objectives?
- Terry Douglas, Head of Training Solutions
While this webinar will provide much “food for thought” our two half-day training workshops on 29 May: Market Abuse Regulation and Trade Surveillance will provide delegates with a greater understanding of the issues involved and be able to learn and ask questions of a former trader about the intricacies and terms that need to be understood to ensure trade surveillance is working effectively.