The 40-page Market Abuse Policy Template is an FCA-aligned guide designed to prevent and detect market abuse in the financial services sector. Built on UK MAR, FCA MAR, and 2025 updates, it safeguards market integrity by addressing risks such as insider trading and market manipulation.
It details surveillance, insider list management, and STOR processes, along with customizable templates such as breach logs and compliance checklists. Supporting SMCR accountability, FCA audits, and proactive governance, it ensures robust compliance and investor trust.
Regulatory Framework (MAR)
Our Firm’s Approach to Market Abuse Prevention
Definition and Categories of Inside Information
Access and Control Procedures
Use and Misuse of Inside Information
Delayed Disclosure Requirements and Process
Record-Keeping Obligations
Creation and Maintenance of Insider Lists
Structure and Format of Insider Lists
Notification and Acknowledgement Process
SME Growth Market Exceptions
Personal Account Dealing and Restricted List
PA Dealing Rules and Approvals
Restricted Securities and Insider Status
Market Manipulation
Benchmark Manipulation
Detection and Monitoring Controls
Suspicious Transaction and Order Reporting (STOR)
Detection and Reporting Obligations
Tipping-Off and Confidentiality
Market Soundings
Permitted Disclosures under MAR
Consent, Warnings, and Confidentiality
Accepted Market Practices (AMPs)
Impact on Trading Behaviour
Stabilisation and Buy-Back Programmes
Permitted Stabilisation Activities
Conditions and Disclosure Requirements
Buy-Back Programme Exemptions under MAR
Media, Leaks and Market Rumours
Research Dissemination and Compliance Controls
Meetings with Analysts and Company Executives
Handling of Non-Public Information
Activist Situations and Corporate Contacts
Persons Discharging Managerial Responsibilities (PDMRs)
FCA Thresholds and Timelines
Controls for PDMRs and Closely Associated Persons
Training and Awareness
Whistleblowing and Reporting Concerns
Governance, Oversight and Breach Handling
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