Managing and Mitigating Market Abuse Risks

This comprehensive training course is designed for investment professionals seeking to gain a deeper understanding of the key techniques for managing and mitigating against market abuse risks. Participants will learn about the common forms of market abuse, including conflicts of interest, information walls, market soundings, market colour, and execution risks, and how to effectively identify, manage, and mitigate these risks. Through a combination of lectures, case studies, and interactive exercises, participants will gain an understanding of the regulatory framework around market abuse and the consequences of non-compliance. They will also develop effective strategies for managing conflicts of interest, including identifying and disclosing conflicts, implementing information barriers, and managing confidential information. Participants will learn the principles and best practices for conducting market soundings and providing market colour in a compliant manner, and how to identify and manage execution risks to ensure fair and efficient execution for clients. Our course will also cover the importance of maintaining accurate records and conducting regular reviews to ensure ongoing compliance with market abuse regulations. By the end of this course, participants will have the knowledge and skills to effectively manage market abuse risks in their daily work and contribute to a culture of compliance within their organizations.