Learning Platform - "Trade Compliance & Surveillance"
Course: Pre-arranged Trading & Cross-Trades
About the online training programme
This course examines the manipulative scheme ‘pre-arranged trading’. It is also set out what crossing concerns. The course covers various practical cases and some jurisprudence.
Course contents
This course includes the following video lessons:
- Introduction
- Crossing
- Accepted market practice
- Pre-execution communications
- Crossing procedures & methods
- Case – Unauthorised cross-trades
- Case – Artificially raising the price
- Case – Excluding competition
- Case – ICE (2005)
- Case – Block-trades