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Learning Platform - "Trade Compliance & Surveillance"

Course: Brokerage Services

About the online training programme

This course is dedicated to the involvement of brokers in manipulative schemes, either with or without the brokers’ intention. Practical examples in this course create awareness about possible activities or structures.

Course contents

This course includes the following video lessons:

  1. Interdealer brokers versus broker-dealers
  2. Transparency
  3. Collusion
  4. Commission
  5. Churning
  6. Intent
  7. Awareness & responsibility
  8. Wash trades
  9. Cross-trade
  10. Crossing – Case
  11. Complexisation
  12. Charades
  13. Fine for poor monitoring controls
Back to Course Package
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The ENTRIMA Learning Platforms are also accessible on mobile devices. To do this, download the aNewSpring education app and open your ENTRIMA environment in it. This way you have access to the lessons and knowledge of the Learning Platforms anytime and anywhere.

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ENTRIMA has trained numerous professionals and certified thousands of learners, and counting

The in-company training services were very satisfying, amongst others, as they served the purpose of learning by debate and through exchange of thoughts.

Pieter Schuurs
Intercontinental Exchange | ICE Endex

The most positive element of ENTRIMA’s online learning services concerns the progressive (step-by-step) approach from simple to more complex concepts.

Ronan Haas
Eurelectric

The online learning services are based on a comprehensive curriculum with a wide variety of theoretical basics combined with a profound business knowledge. The courses provide an in-depth understanding of business relevant processes.

Mario Claeys
Uniper Global Commodities