G14 - Market Abuse Policy Template
Length: 64 Pages
Applies to: Investment firms, Wealth Management etc.
Market Abuse Policy Template
This editable Word template helps regulated firms comply with the Market Abuse Regulation (MAR), Criminal Justice Act 1993, FSMA 2000, and FCA Handbook requirements.
It covers insider dealing, market manipulation, unlawful disclosures, and false statements, outlining procedures for monitoring trading, implementing surveillance, and investigating suspicious behaviour. It also includes senior management, compliance, and trading personnel responsibilities.
The policy features incident reporting forms, STOR templates, escalation protocols, and guidance on personal account dealing, confidentiality, and insider information handling. It also covers breach management, whistleblowing, and regulatory reporting.
Built-in tools support risk assessments, control testing, data retention, and audit trails. They are ideal for investment firms, trading platforms, and compliance teams. The software is instantly downloadable and fully editable, promoting a proactive approach to market abuse prevention.
Length: 64 Pages
Applies to: Investment firms, Wealth Management etc.
Market Abuse Policy Template
This editable Word template helps regulated firms comply with the Market Abuse Regulation (MAR), Criminal Justice Act 1993, FSMA 2000, and FCA Handbook requirements.
It covers insider dealing, market manipulation, unlawful disclosures, and false statements, outlining procedures for monitoring trading, implementing surveillance, and investigating suspicious behaviour. It also includes senior management, compliance, and trading personnel responsibilities.
The policy features incident reporting forms, STOR templates, escalation protocols, and guidance on personal account dealing, confidentiality, and insider information handling. It also covers breach management, whistleblowing, and regulatory reporting.
Built-in tools support risk assessments, control testing, data retention, and audit trails. They are ideal for investment firms, trading platforms, and compliance teams. The software is instantly downloadable and fully editable, promoting a proactive approach to market abuse prevention.
Length: 64 Pages
Applies to: Investment firms, Wealth Management etc.
Market Abuse Policy Template
This editable Word template helps regulated firms comply with the Market Abuse Regulation (MAR), Criminal Justice Act 1993, FSMA 2000, and FCA Handbook requirements.
It covers insider dealing, market manipulation, unlawful disclosures, and false statements, outlining procedures for monitoring trading, implementing surveillance, and investigating suspicious behaviour. It also includes senior management, compliance, and trading personnel responsibilities.
The policy features incident reporting forms, STOR templates, escalation protocols, and guidance on personal account dealing, confidentiality, and insider information handling. It also covers breach management, whistleblowing, and regulatory reporting.
Built-in tools support risk assessments, control testing, data retention, and audit trails. They are ideal for investment firms, trading platforms, and compliance teams. The software is instantly downloadable and fully editable, promoting a proactive approach to market abuse prevention.