UK Market Abuse

Objectives

On completion of this tutorial, you will be able to:

• Recognise the types of behaviour that constitute market abuse

• Identify the laws and regulations in relation to market abuse, particularly the Market Abuse Regulation (MAR)

• Recognise the importance of a firm’s systems and controls in relation to managing market abuse risks

Tutorial Overview

This tutorial is a guide for financial services staff at all levels to help them avoid the risks of:

• Breaching the standards of behaviour expected in relation to market abuse

• Becoming liable in civil law for breaches of these standards

• Committing criminal offences, such as insider trading and market manipulation

The tutorial details the relevant laws and regulations that firms and individuals need to follow, as well as the systems and controls that are used to manage market abuse risks. The information is pitched so that the tutorial is relevant to those with no experience of the UK market abuse regime, although there is sufficient detail to make the tutorial useful to more senior managers as well.

Prerequisite Knowledge

None

Tutorial Level

Introductory

Tutorial Duration

75 minutes