Market Integrity and Prevention of Market Abuse (w/ AI Considerations)

No prerequisute

1. Understand the concept of market integrity and its significance in financial markets.
2. Identify various forms of market abuse and their implications for stakeholders.
3. Recognize regulatory frameworks and obligations related to market integrity and prevention of market abuse.
4. Implement effective internal controls and compliance measures to mitigate the risk of market abuse.
5. Develop strategies for promoting ethical conduct and maintaining trust in financial markets.

Module 1: Introduction to Market Integrity

• Definition and importance of market integrity
• Key principles of market integrity
• Role of market integrity in maintaining investor confidence

Module 2: Market Abuse: Types and Impact

• Overview of market abuse offenses (e.g., insider trading, market manipulation)
• Impact of market abuse on stakeholders and financial markets
• Case studies and examples of market abuse incidents

Module 3: Regulatory Frameworks and Obligations

• Overview of relevant regulations (e.g., SEC regulations, EU Market Abuse Regulation)
• Compliance requirements for listed companies and financial institutions
• Regulatory enforcement and penalties for market abuse violations

Module 4: Internal Controls for Market Integrity

• Designing and implementing internal controls to prevent market abuse
• Role of compliance functions and risk management in ensuring market integrity
• Monitoring, surveillance, and reporting mechanisms

Module 5: Best Practices for Listed Companies

• Responsibilities of listed companies in promoting market integrity
• Corporate governance practices for preventing market abuse
• Disclosure requirements and transparency initiatives

Module 6: Promoting Ethical Conduct

• Importance of ethical culture in preventing market abuse
• Training and awareness programs for employees and stakeholders
• Whistleblower policies and mechanisms for reporting suspicious activities

Module 7: Case Studies and Practical Applications

• Analysis of real-world cases of market abuse and enforcement actions
• Group discussions and exercises on identifying potential market abuse scenarios
• Developing action plans for enhancing market integrity within organizations

Module 8: Compliance Assessment and Continuous Improvement

• Conducting compliance assessments and audits
• Evaluating the effectiveness of internal controls and compliance programs
• Strategies for continuous improvement and adaptation to regulatory changes

• Introduction to Market Integrity
• Market Abuse: Types and Impact
• Regulatory Frameworks and Obligations
• Internal Controls for Market Integrity
• Best Practices for Listed Companies
• Promoting Ethical Conduct
• Case Studies and Practical Applications
• Compliance Assessment and Continuous Improvement

The online delivery blends synchronous and asynchronous components. Students complete self-directed assignments hosted on the course platform. Weekly Forums support a required active, rubric-based student contributions that foster collaboration.

Exams may include essays, short answers, or MCQs. Formats include open/closed book. Time zones are considered. Assessments are formative and summative. Students have 2 weeks to review grades and must follow the appeal process in the Student Handbook.

Certificate

Please note that there are three semesters as intake periods as noted on the academic calendar.
Scholarship Awarded (Total Fee: €100)

Registration is done online.