UK Market Conduct



Course Outline

Introduction

The course starts with a brief reminder of the regime that was introduced in 2005. This short introduction takes the learner through the scope of the rules and the consequences of any inappropriate behaviour. It is supported by a series of interactive exercises.

Scenarios

At the heart of the course is a series of case studies that show the practical application of the regime. These scenarios reiterate the basic rules and procedures, but in a real world context.

Currently the course offers two streams:

  • The Public Side
  • The Private Side

Further modules such as Asset Management and Support Functions are in development. Depending on the functionality of the LMS, it is possible to score the learner's performance on the case studies. If their score falls below certain thresholds they can then be made to take a short revision course before starting the course test. This quick revision session can be made a voluntary or mandatory element of the course.

Course test

The course concludes with a multiple choice test. The questions are randomly selected from a large question bank. The size of the test and the pass mark can be adjusted to any level.

Further Information

Format

SCORM 1.2 compliant. The course uses Adobe Flash and Trivantis Lectora.

Implementation

This course runs on any SCORM compliant LMS platform. Adobe Flash Player 6 plug-in (or later) must be installed in the web browser. JavaScript must also be enabled and all pop-up blockers disabled.

Course Overview

In recent publications, regulators have stressed the need for market abuse training to go beyond a mere restatement of the rules. This market abuse course focuses on the practical application of the regime.

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Details

Learning outcomes:

By the end of the course the learner will be able to:

  • State the purpose of the market abuse regime
  • Explain the nature of the offences and the ways in which they are enforced
  • Apply the rules to a variety of practical situations appropriate to their role in the firm
  • Understand how this regime impacts upon their working lives

Audience:

The course is suitable for all members of staff. As the course divides into separate streams (currently covering the public and private sides) it can be optimised for all business models.

Course duration:

Approximately 30 minutes.

Assessment:

The course contains several interactive case studies and a short multiple choice test.


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