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Description

Market Abuse: Detecting Suspicious Transactions, Controlling and Reporting

Equip the second-line control function of an asset management firm to qualify alerts and justify decisions to close them without action

  • 2 days — 14 h
  • In-person or virtual
  • Intermediate
  • Up to 6 participants

An asset management firm must be able to demonstrate that it detects conduct liable to distort the market. The misuse of inside information and price manipulation rank first among these risks. Alerts generated by surveillance tools are numerous and often poorly qualified. The compliance and control officer then struggles to justify decisions to close cases without further action.

This short programme equips the second-line control function. It revisits the categories of market abuse and the situations specific to asset management. It covers how to conduct an alert review, build the analysis file and activate reporting channels.

Learning objectives

  • Qualify a situation against the different categories of market abuse
  • Configure detection scenarios consistent with the investment strategies being monitored
  • Conduct the analysis of an alert through to a reasoned conclusion
  • Build an analysis file that will withstand regulatory scrutiny
  • Activate internal and external reporting channels within the appropriate timeframes

What makes this programme different

Detection scenarios are linked to the investment strategies actually practised
Justifying a decision to close an alert is treated as a formal control document
Case studies focus on asset management rather than on the trading floor

Programme

1Qualifying market abuse

Naming the conduct precisely

  • Inside information and the criteria used to establish it
  • Insider dealing and recommendations based on inside information
  • Price manipulation and manipulation through the dissemination of information
  • Attempted abuse and conduct at the margins of qualification

2Detection in asset management

Adapting surveillance to the portfolios managed

  • Data sources used for order surveillance
  • Detection scenarios by asset class
  • Monitoring staff personal account dealing
  • Insider lists and information barriers
  • Handling recurring false positives

3Analysing, reporting and documenting

Securing the control officer's decision

  • Conducting the analysis and gathering supporting evidence
  • Drafting a reasoned conclusion, including where the alert is closed
  • Internal escalation route and the role of the compliance officer
  • Suspicious transaction reporting and dealings with the regulator

Who is it for

Heads and officers of permanent control in asset management firms as well as compliance officers and internal auditors.

Prerequisites

Currently holding a control or compliance role within an asset management organisation

Dates & locations

36 scheduled dates between November 2026 and December 2027. Seats are confirmed in the order enquiries are received.

November 2026

December 2026

January 2027

February 2027

March 2027

April 2027

May 2027

June 2027

September 2027

October 2027

November 2027

December 2027

None of these dates suit you? We open additional sessions on request, and any programme can be run privately for your team.

Practical details

Before the programme
Online positioning questionnaire. Your development objectives are shared with the trainer, who tailors the practical case studies to your context.
Teaching methods
Theoretical input, workshops and practical case studies. Digital course materials and method sheets provided.
Assessment
Multiple-choice tests and role-play exercises. Assessment of learning at the start and end of the programme, with immediate and 60-day follow-up evaluations.
After the programme
One year of access to the e-learning platform. Self-assessment of the skills acquired and a 30-day follow-up session with your trainer.
How to register
Registration online or on the basis of a quotation.
Lead time
11 working days after confirmation of registration.
Accessibility
Accessible to people of determination. Contact our accessibility coordinator to design a suitable solution: contact@mpf-academy.ae
Start dates
Rolling intake: in addition to the scheduled sessions, this programme can start on request.