1
Type
Speaker
CPD Hours Level
Seminar 6 UpdateInformation
Accreditation Information
SRA Competency B

Introduction

The market abuse regime continues to be an area of great focus for regulators and market participants alike.

This new full day course will provide you with a comprehensive guide to the Market Abuse Regulation (‘MAR’) and its application in the UK, including notable regulatory enforcement actions and the FCA’s supervisory expectations.

What You Will Learn

This course will cover the following:

  • Background and scope of MAR
  • The definition and elements of 'inside information', guidance and case studies
  • The principal offences under MAR and available defences
  • The issuer’s obligations under MAR and the rules governing dealings by persons discharging managerial responsibilities (‘PDMRs’) and persons closely associated with them (‘PCAs’)
  • The ‘market sounding’ regime
  • Suspicious transactions and order reporting (‘STOR’)
  • Regulatory expectations with regards to internal policies and procedures to prevent market abuse
  • The FCA’s approach to enforcement, notable market abuse enforcement cases, sanctions and penalties

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Seminar | 13.07.2020

London | 9:30am - 5:15pm


Under the Spotlight - A Guide to Market Abuse Regulation

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Jul
13
2020
London
9:30am - 5:15pm
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Prices (ex VAT)
Smart
Plan Information
£243
Season
Ticket Information
£270
Standard
£540
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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