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CASE STUDY
BLENDED MARKET ABUSE AND CONDUCT WORKSHOP
Blended Market Abuse and Conduct Workshop
In 2020 Trevor Norwood lead the team to develop and deliver a blended learning solution for a buyside firm; to complement and build on their existing eLearning solution. The interactive and practical workshop focusses on the grey areas where decisions are rarely clear-cut, and continues to be updated sand delivered.
Requirement:
In 2020 we were approached by the compliance team of a medium sized buyside firm to develop a market abuse/conduct awareness programme to run alongside their existing e-learning provision to deliver a blended solution.
Solution:
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The staff are generally highly experienced and have been through the market abuse material many times. Therefore, the brief was to make the course very practical and engaging.
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The 45-minute course is consequently primarily driven by scenarios and case studies which try to tackle the grey areas on the edge of the regime where decisions are rarely clear cut.
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The scenarios are initially developed using keypad questions and answers. Beyond this the questions become broader and more diverse and a more interactive dialogue is used
Outcome:
Following a detailed review a proposed TOM along with suggested strategies to optimise where presented to EXCO.
These were accepted, adopted and the post ring-fencing institution has successfully continued to grow and optimise their corporate liabilities portfolio.