Market Abuse & FCA Compliance - A Bite-Sized Update
Market abuse remains one of the FCA's top priorities. The FCA has both criminal and civil fining powers to tackle market abuse and is increasingly focusing on individuals who work in financial institutions, or those who advise them.
Following the enhanced reporting regime introduced by MiFID II, the FCA also has a greater capability to detect market abuse and suspicious transactions.
This short webinar will consider the constituent elements of insider dealing and market abuse, the risk areas in practice for regulated firms and compliance officers and the FCA's enforcement priorities in this area.
What You Will Learn
This webinar will cover the following:
- Market abuse - why does it matter?
- Types of market abuse
- What is inside information?
- Common risk areas for firms
- FCA's toolkit for detecting market abuse
- FCA's enforcement approach to market abuse