Market Conduct Essentials
This awareness-level course covers the ethical, regulatory and legal responsibilities of firms and their employees in relation to market conduct. It explains the legal and regulatory landscape for insider trading and market manipulation and the consequences of breaches. Real-life examples and practical scenarios are used to reinforce the key messages.
Course Overview
Learning Objectives
This course explains:
- The ethical, regulatory and legal responsibilities of firms and their employees in relation to market conduct
- Insider trading and market manipulation
- The consequences of improper behaviour
- How to escalate concerns
Audience
Suitable for all
Duration
Up to 20 minutes
Assessment
End test included as standard
Technical Specifications
Format
SCORM 1.2
SCORM 2004 (3rd/4th edition)
HTML5
Hosting Environment
SCORM 1.2/2004 (3rd/4th edition) compliant LMS platforms including:
- Moodle
- Cornerstone
- SumTotal
- Saba
- PeopleFluent LMS
(formerly NetDimensions)
Browser Support
Internet Explorer 11
Edge
Chrome
Firefox
Safari
(Pop-up blockers disabled and JavaScript must be enabled)
Learner Environment
Responsive content may be viewed on:
- Desktop
- Laptop
- Tablet device
- Smartphone
Recommended connection speed 512 KBPS
Please request a free trial if you would like to review the course or purchase the course directly.
