As financial institutions expose to an increasingly diverse spectrum of compliance exposures, it is difficult for their appointed representatives to keep up with them. Appointed representatives may inadvertently cross the line for market abuse without realizing. This course will highlight the regulatory risks faced by the appointed representatives.

• Understand the purpose of securities regulations
• Understand local market abuse regulatory framework
• Identify the different types of market abuse
• Case study 1: Insider trading
• Case study 2: Front running
• Know the different approaches used to management market abuse

Module 1: Purpose of Securities Regulations

Module 2: Local Market Abuse Regulatory Framework

Module 3: Types of Market Abuse

Module 4: Case Study: Insider Trading

Module 5: Case Study: Front Running

Module 6: Effective Management of Market Abuse