Market Abuse Policy & Document Set

Certain types of behaviour, such as insider dealing and market manipulation can amount to market abuse, which for UK financial firm has always been heavily regulated. However on 3rd July 2016, the previously followed MAD was replaced by the Market Abuse Regulations (EU) 2014/596/EU, which also saw the vast revision of the FCA’s MAR sourcebook and their DTR module. In addition, ESMA have also created a vast array of new guidelines and technical standards to be followed alongside MAR.

The KYC team have been hard at work behind the scenes for several months now, digesting, dissecting and reviewing the new MAR and awaiting the FCA’s revision of their rules and regulations so that we could develop and industry leading policy document and template set for firms obligated under MAR. Our vast MAR set provides a structured, compliant and robust basis for setting and implementing your MAR objectives and procedures and also provides compliant, industry standard templates for STOR and Insider Lists.

£62.00 (ex vat)

The Market Abuse Regulation (MAR) have been designed to strengthen the existing UK market abuse framework by extending its scope to new markets, new platforms and new behaviours. Preventing, detecting and punishing market abuse has been made a high priority for the FCA and is one of their main statutory objectives of protecting consumers, enhancing market integrity and promoting competition. Firms who are obligated under MAR are now expected to have compliant policies, procedures, recording tools, controls and measures fully in place to prevent, detect, record and review any actual or attempted forms of market abuse.

The Market Abuse Policy Set contains (26 pages):

policy

These digital documents come in a .doc and Excel format which allows full customisation and corporate branding such as adding your logo and company name. You are also welcome to remove or add any sections that do/do not apply to your specific business requirements.

FORMAT – Word Document and Excel Template emailed to customer after order has been processed and full payment received.

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