Learning Platform - "Trade Compliance & Surveillance"

Course: Cases

General Information – Concerning The Cases

The practical cases at the learning platform contribute to market abuse prevention and detection, thereby improving market integrity. Simultaneously, going over the cases decreases the chance of professionals to become involved with disruptive behaviour or to commit abuse. This mitigates the reputational risk of market participants.

Objective:

The practical cases aim to increase the awareness of learners. This way, they will be better able to identify what aspects are of relevance, which considerations one can make and what kind of activities are legitimate.

In the form of cases, learners will encounter practical situations (actual or hypothetical). In reality, the situation may require an action, or some consideration. Anyhow, the learner is invited to interpret the situation or the circumstances, whereupon the learner is invited to share those views via the platform. On the back of any case, the learner is challenged to see what the situation implies, what should be done and/or to provoke a dilemma discussion.

Notes:

• The learning platform provides the learner with feedback right upon the learner’s input. The system’s immediate evaluation (output) is presented to the learner. This output is based on ‘best practices’ or ‘shared views’ of market participants, or it is based on guidance by the authorities.
  Disclaimer:
  Though the content is developed with utmost care, and tested by professionals in the markets, in no way the output of the learning platform provides for a legal status. Hence, no rights can be claimed from the content of Entrima’s learning platform, nor does Entrima accept any liability for any views expressed as to the legal application of any law or its implementation.
• In case of a group registration, the learners’ colleague(s) from the compliance function, surveillance function or management might be enabled to view the learners’ input. This way, one can identify the loopholes in required expertise (of an individual and/or within the group as a whole). This allows for the provision of additional attention in the identified fields, to further optimise the required knowledge levels, skills and awareness.