Introduction to Market Abuse Regulation
Where rules against market abuse exist, these rules are usually split into two concepts: Insider Dealing and Market Manipulation. In this video, Stephen provides an introductory overview of what market abuse means in the context of the European Union.
Overview
Market abuse can be divided between insider dealing and market manipulation. Assessing whether information is “inside” can be quite complicated and needs to be assessed on a case-by-case basis. Similarly, market manipulation is difficult to define, but there are behaviours that are consistently described as being considered market manipulation. If you are unclear whether information is inside information, you should consult your compliance officer or legal team.
Key learning objectives:
Describe market abuse, inside information, and market manipulation
Explain MAR
Explain what actions an individual and organisation should take to prevent insider dealing
Summary
Expert
Stephen Stokes
Stephen began his career in various legal roles and gradually moved into compliance via legal research, and later a consulting role. Stephen has spent almost the last ten years advising firms on largely UK, EU and US regulatory compliance issues. He is now a Chief Compliance Officer at a London based hedge fund.
