Market Abuse Compliance Checklist
Product information
A practical self-assessment checklist covering the key areas a national competent authority examines in a firm's market abuse prevention framework. Based on the Market Abuse Regulation (EU 596/2014) and Commission Delegated Regulation (EU) 2016/957.
10 sections, 47 checklist items. Includes summary of findings table, action plan and sign-off.
Designed for compliance officers, AML reporting officers and risk managers at EU-regulated investment firms and fund managers subject to MAR.
Related reading: Market Abuse Compliance Checklist: A Self-Assessment Tool for EU-Regulated Firms
Related training: Market Abuse: Real Cases, Statistics & Supervisory Insights — CPD Course
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