Control of Information



Course Outline

Law and Regulation

The course references to the Market Abuse regimes across the globe. However, the primary focus is the firm's procedures with regard to information control.

Systems and Controls

Highlights the systems and controls that employees are required to follow to manage sensitive information. In particular, it examines;

  • the divide between the public and the private sides of the business
  • information Barriers
  • bringing a member of staff across the barrier
  • specialist functions such as the Control Room

Case Studies

The course concludes with a number of case studies which outline particular scenarios that employees may encounter.

Further Information

Format

SCORM 1.2 compliant. The course uses Adobe Flash.

Implementation

This course runs on any SCORM compliant LMS platform. Adobe Flash Player v6 (or later) must be installed in the web browser. JavaScript must be enabled and pop-up blockers disabled.

Course Overview

This course looks at the issues concerning control of information in a complex financial services business.

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Details

Learning outcomes:

By the end of the course, the learner will have a clear understanding of:

  • the divide between the public and private sides of the business
  • the procedures that must be followed when the information barriers are crossed
  • the consequences of inappropriate behaviour

Audience:

The course is suitable for all staff in a financial services firm and requires no previous knowledge or experience.

Course duration:

Approximately 20 minutes.

Assessment:

The course includes a randomised question bank which can be tailored on request.


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