Gamified Market Conduct



Course Outline

The course is stranded with separate paths for Investment Banking, Sales & Trading, Research, and Asset Management.

The course is divided into three levels: Blue Level covers market conduct fundamentals, and Silver and Gold levels present learners with realistic and increasingly complex scenarios. Click here for the course map structure.

Experienced staff can make accelerated progress through the Blue Level by passing a pre-test.

Insider trading

Scenarios focus on the definition of material non-public information (MNPI) various and the consequences of being made an insider. Many of the scenarios draw on lessons learned from recent criminal and regulatory cases including SAC Capital, Greenlight and Hannam.

Market manipulation

The scenarios focus on the behaviour that could amount to market manipulation, such as washes, improper crosses, rumours and squeezes as well as benchmark manipulation.

Further Information

Format

SCORM 1.2 compliant. The course is built with HTML/CSS/jQuery.

Implementation

This course runs on any SCORM 1.2 compliant LMS platform and supports IE7 and above, Chrome, Safari, Firefox and tablets. JavaScript must also be enabled and all pop-up blockers disabled.

Course Overview

This course is designed to meet the needs of global financial services firms and contains separate learning paths for bankers, analysts, asset managers and those involved in sales and trading activity.

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Details

Learning outcomes:

By the end of the course the learner will:

  • Understand the importance of market cleanliness to issuers, investors and society
  • Know the prohibitions in relation to insider trading, market manipulation and anti-competitive practices
  • Be able to apply their knowledge to a range of realistic market conduct scenarios
  • Understand their personal responsibilities in relation to market conduct
  • Know when and how to escalate concerns or suspicious transactions

Audience:

The course is suitable for all market and customer facing staff within investment banks, hedge funds, asset managers or brokerages. Basic knowledge of financial instruments is assumed.

Course duration:

As the course adapts to the learner's need, duration depends on their initial understanding of the topic. Typically, the course will take between 15 and 30 minutes.

Assessment:

The course includes a series of exercises and scenarios that test the learner's understanding as they progress through the course.


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