Market Abuse and Conflict of Interest

Market abuse is one of the most closely supervised areas of conduct risk in the Swiss financial centre, directly affecting market integrity, investor confidence, and the reputation of the institution. It is not confined to trading floors: any employee who has access to non-public information, interacts with clients, or participates in transactions can be exposed to this risk, whether through insider trading, market manipulation, or unmanaged conflicts of interest.

The course provides an overview of essential strategies to address market abuse and conflicts of interest in the Swiss banking sector. Participants will gain insight into the Swiss regulatory framewor, including the Financial Market Infrastructure Act (FMIA) and FINMA Circular 2013/8, and the elements FINMA expects institutions to have in place to prevent, detect, and address market abuse.

The course emphasises the importance of individual awareness, risk-based controls, and effective escalation to ensure institutional resilience and sound market conduct.