Learning Platform - "Trade Compliance & Surveillance"

Course: General Introduction to Market Abuse

About the online training programme

This interactive eLearning covers the fundamentals of market abuse. It touches on the basics of the related topics or themes from a universal perspective and is therefore suitable for every professional who wants or needs to master the related content.

Course contents

This interactive eLearning covers the following topics:

• Market abuse
  • Insider trading
• Order management
  • Placing, cancelling & amending orders
• Other
  • Inducing, inciting other people
    • Market manipulation
    • Transacting/order management which is misleading
    • Dissemination of false/misleading information
• Inside information
  • Criteria to qualify information as inside information
  • Obligation to publish inside information
• Compliance
  • Risk of non-compliance
  • Reputational risk
• Monitoring & surveillance
  • Parties with an obligation to perform monitoring or surveillance
  • Reporting suspicious behaviour
• Sanctioning
  • Administrative sanctions
  • Criminal sanctions