Market Abuse Risk Assessment Checklist
Complete this checklist to assess market abuse risk indicators, document findings, and summarize the overall outcome.
Assessment Context
Assessment Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Assessor Name
*
Department / Team
*
Business Unit / Desk
*
Review Period / Monitoring Window
Market Abuse Risk Checklist
Market abuse red flags identified
*
Severity of identified indicators
*
Rows
None
Low
Moderate
High
Insider information concern
1
2
3
4
Suspicious trading pattern
5
6
7
8
Market manipulation indicator
9
10
11
12
Unusual communication
13
14
15
16
Conflict of interest
17
18
19
20
Client or order placement concern
21
22
23
24
Other red flag
25
26
27
28
Overall frequency of concerning activity
Rare
1
2
3
4
5
6
7
8
9
Frequent
10
1 is Rare, 10 is Frequent
Additional market abuse observations
Overall Outcome
Overall risk rating
*
Low
Medium
High
Critical
Summary notes and follow-up actions
Submit
Should be Empty: