Commodity Market Abuse



Course Outline

Why honest markets are important

An explanation of the commercial, economic and societal importance of sound markets. Learners are encouraged to consider the special importance of commodity markets to communities.

Misuse of information

A discussion of the meaning of general availability and of the various types of inside information. The section includes a range of scenarios to consolidate understanding.

Market Manipulation

Explanations of the need for every transaction and behaviour to have a legitimate commercial rationale. Prohibited practices such as improper crosses, washes, abusive squeezes are also explained. The section includes a range of scenarios to consolidate understanding.

Further Information

Technical Specifications

This course runs on any SCORM 1.2 or SCORM 2004 compliant LMS platform and supports Internet Explorer 8 and above, Chrome, Safari, Firefox and tablets. The course is built with HTML/CSS/jQuery. JavaScript must be enabled and all pop-up blockers disabled.

Course Overview

The course is designed to provide a scenario based exploration of commodity market abuse, and covers a range of commodity products.

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Details

Learning outcomes:

By the end of the course the learner will:

  • Know the prohibitions on the misuse of inside information related to securities, commodity derivatives and client pending orders
  • Know the prohibitions on market manipulation
  • Be able to apply their knowledge to a range of realistic market manipulation scenarios
  • Appreciate the broader ethical and reputational importance of high standards of conduct
  • Know about their obligation to escalate suspicious activity reports to compliance
  • Understand the need to seek guidance from compliance whenever in doubt

Audience:

The course is suitable for all market and customer facing staff who are engaged in the brokerage of trading of commodities and commodity derivatives. Basic knowledge of derivative instruments is assumed.

Course duration:

Approximately 20 minutes.

Assessment:

The course contains several interactive case studies and a short multiple choice test.


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