Market Abuse Regulation - A Comprehensive Guide
The EU's Market Abuse Regulation ('MAR') has made major changes to law and regulation affecting securities markets across the EU, and particularly impacts on both listed and AIM companies.
This course will look at the background to MAR and the significance of its application in the UK since 3 July 2016.
What You Will Learn
This course will cover the following:
- The impact of MAR on investors, issuing companies and others engaged in the financial markets, and on FCA attitudes to financial regulation and compliance in the UK
- The definition of 'inside information' and the key elements of the principal offences under the Market Abuse Regulation:
- Insider dealing
- Unlawful disclosure of inside information
- Market manipulation
- Including the exceptions and defences which may be available for these offences
- The rules concerning the release of inside information to the markets, the withholding of inside information and the procedures involved in making 'market soundings'
- Amendments to the Financial Services and Markets Act 2000, the FCA Handbook and the AIM Rules for Companies as a result of MAR
- Record keeping requirements imposed by MAR, including the maintenance of 'insider lists'
- The new rules under MAR (replacing the former Model Code) governing dealings by PDMRs (persons discharging managerial responsibilities) and PCAs (persons closely associated with them)
- Enforcement and 'suspicious transactions and order reports'
Please let us know if you wish to be notified.
Please let us know if you wish to be notified when new dates are added for this programme