The Market Abuse Regulation (MAR) is aimed at prohibiting insider dealing and unlawful disclosure of inside information, and market manipulation. Train your employees to protect them and your organisation from costly mistakes which could result in fines or even imprisonment. This eLearning course on MAR is set in an immersive format enabling learners to explore real-life case studies and evaluate the conduct presented to reduce the risks of breaching FCA regulations.
This online training course on Financial Sanctions is broken down into the following main modules
This online training course on Financial Sanctions is broken down into the following main modules
This module defines insider dealing, who is classified as an insider, what is meant by insider information and how it creates an unfair advantage over the rest of the market. This module also explains a firm’s obligations to report suspicions to the Financial Conduct Authority (FCA) by completing a Suspicious Transactions and Orders Report (STOR).
The disclosure of inside information can give an unfair advantage and lead to market abuse. Firms have a duty to inform the public about the disclosure of inside information that directly affects their interests, and to not mislead investors. This module looks how firms must keep the FCA informed and updated about the disclosure of insider information.
Manipulating transactions are designed to create false or misleading information that raises the demand and price of an investment to an artificial level. If found guilty, it could lead to a fine and a possible ban from regulated activities. This module explores how to identify legitimate transactions and the reasonable grounds to report suspicions of market abuse.
Firms and individuals must not disseminate false information about an investment or investor which could create a misleading impression. This module covers what constitutes as dissemination, the ‘reasonable person’ test and how using the information barrier (‘Chinese wall’) defence may be used to determine illegitimate actions.
As learners move through scenario-based challenges, they will be required to navigate an ethical minefield as they make vital decisions that could increase or decrease the risks of breaching Market Abuse Regulation (MAR). Learners must demonstrate their knowledge and understanding by answering 80% of the questions correctly to pass the course successfully. Learners can take the assessment again to improve their score.
| Number of Learners | Cost (per year) | |
|---|---|---|
| 1 - 10 | ||
| 11 - 20 | ||
| 21 - 50 | ||
| 51 - 100 | ||
| 101 - 150 | ||
| 150+ | ||
| Number of Learners | Cost (per year) | |
|---|---|---|
| 50 - 100 | ||
| 101 - 200 | ||
| 201 - 300 | ||
| 301 - 400 | ||
| 401 - 500 | ||
| 501 - 750 | ||
| 751 - 1000 | ||
| 1001 - 2500 | ||
| 2501 - 5000 | ||
| 5000 - 10,000 | ||
| 10,000 + | ||
Included Features
The Market Abuse Regulation (MAR) is aimed at prohibiting insider dealing and unlawful disclosure of inside information, and market manipulation. The MAR came into effect on 3 July 2016. According to the FCA guidance, it aims to increase market integrity and investor protection, enhancing the attractiveness of securities markets for capital raising. MAR strengthens the previous UK market abuse framework by extending its scope to new markets, new platforms and new behaviours. Breaching the MAR could result in civil and criminal prosecution. Train your employees to protect them and your organisation from costly mistakes which could result in fines or even imprisonment.
Market abuse refers to acts of deceit and manipulation in the financial market. There are three types of behaviours which constitute market abuse: insider dealing, unlawful disclosure of inside information and market manipulation. The Financial Conduct Authority works with law enforcement agencies and regulators to reduce market abuse across the UK.
Since the financial crisis of 2008, confidence in the financial services industry has been volatile. Market abuse further eroded consumer confidence in the industry. The MAR was designed to help to restore confidence and to enhance the culture of the financial services industry. It came into force on 3 July 2016 and effectively replaced the EU Market Abuse Directive (MAD).
The FCA aims to deter individuals from engaging in market abuse by imposing unlimited fines, injunctions and criminal sanctions on those who have breached the MAR previously. For examples, insider dealing and market manipulation, which are considered serious breaches of the MAR, can incur custodial sentences of up to 7 years, as well as unlimited fines.
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