Global Market Conduct



Course Outline

Learners are taken on a virtual round-the-world trip and on their travels encounter a series of market conduct scenarios. These scenarios cover a range of information and market manipulation problems.

Introduction

The course begins with a summary of prohibited behaviours and practices. This summary is high level and contains information that might be found in a firm's market abuse policy. Detailed reference to the laws and regulations of a particular jurisdiction are avoided.

The Journey

The heart of the course is a series of case studies that show the practical application of these prohibitions. The cases cover sales, trading, research and private side activity.

The case studies include a range of cities including London, New York, Mumbai, Dubai, Tokyo and Singapore.

Course Test

Each case study comes with a series of questions. An end of course multiple choice test can be added on request.

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. Javascript must be enabled and all pop-up blockers disabled.

Course Overview

This course is designed to provide an introduction to market conduct for globally active firms.

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Details

Learning outcomes:

By the end of the course the learner will:

  • understand why market cleanliness is important for issuers, investors and society
  • know the prohibitions surrounding the misuse of information
  • know the prohibitions surrounding behaviour that may create a false or misleading impression
  • recognise the need to escalate concerns before acting
  • appreciate the range of possible criminal, civil and regulatory consequences of non-compliance
  • appreciate the need to report suspicions

Audience:

The course is designed for front office staff that have reasonable product knowledge. The course is particularly appropriate as an educational resource to embed a firm's market abuse policy.

Course duration:

Approximately 30 minutes.

Assessment:

The course includes several interactive case studies and a final multiple choice test can be added if required.


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