UK MAR: Market Abuse Obligations, Surveillance and Senior Accountability
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Course Overview
Market abuse remains a core area of regulatory focus for UK-regulated financial services firms, with clear and well-established obligations under the UK Market Abuse Regulation (UK MAR). Firms are expected to maintain effective governance, robust surveillance arrangements, and clear senior accountability to prevent, detect, and report market abuse across trading activity, advisory services, and information flows.
This interactive, workshop-led course is designed for senior compliance and conduct risk professionals who require a practical, working understanding of UK MAR obligations and how they apply in day-to-day firm operations.
The course examines the scope of UK MAR and the principal forms of market abuse, including insider dealing, unlawful disclosure of inside information, and market manipulation. It focuses on how firms should design, operate, and evidence proportionate, risk-based systems and controls in line with regulatory expectations, covering market abuse risk assessment, surveillance and monitoring, escalation, and Suspicious Transaction and Order Reporting (STOR).
Strong emphasis is placed on evidencing effective oversight, applying professional judgement, and meeting obligations from both a civil and criminal perspective. Participants will be equipped to critically assess whether their firm’s UK MAR framework is effective and to clearly demonstrate compliance to regulators, auditors, and senior management.
Learning outcomes
By the end of the session, participants will be able to:
Understand the scope, purpose, and application of UK MAR and its key obligations
Identify and assess market abuse risks, including insider dealing, unlawful disclosure, and market manipulation
Apply a risk-based approach to UK MAR governance, policies, and procedures
Assess the effectiveness of market surveillance systems, alerts, and investigation processes
Make and evidence defensible decisions around escalation and STOR submissions
Understand expectations around inside information controls, information barriers, and disclosure
Demonstrate effective senior oversight, accountability, and professional judgement under UK MAR
Who this course is for
This workshop is designed for professionals with responsibility for UK MAR and conduct risk oversight, including:
Heads of Compliance and Financial Crime
Market Abuse and Surveillance specialists
Senior Compliance and Conduct Risk Managers
Capital Markets, Trading, and Advisory Compliance professionals
Corporate Finance and Inside Information oversight leads
Internal audit and assurance professionals
Senior managers accountable for market abuse
The course is particularly relevant for UK-regulated firms subject to UK MAR that wish to strengthen surveillance effectiveness, improve decision-making around escalation and STORs, and demonstrate robust, regulator-ready compliance.