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Learning Platform - "Trade Compliance & Surveillance"

Course: Employee Personal Trading

About the online training programme

This course is about the handling of the personal investments and trading of a company’s employees, especially those with access to inside information and those with market access, as these face the highest risk of being exposed to conflicts of interest.

Course Contents

This course covers the following video lessons:

  1. Introduction
  2. Not prohibited
  3. Legislation
  4. Compliance risks relating to personal trading – Conflict of interest
  5. Compliance risks relating to personal trading – Front running
  6. Compliance risks relating to personal trading – Insider dealing
  7. Compliance risks relating to personal trading – Failing to detect suspicious activity
  8. Compliance risks relating to personal trading – Reputational harm
  9. Compliance risks relating to personal trading – Persons discharging managerial responsibilities
  10. Mitigation of compliance risks – Develop employee personal trading policy
  11. Mitigation of compliance risks – Pre-approval before transacting
  12. Mitigation of compliance risks – Post-trade rules
  13. Mitigation of compliance risks – Monitoring

This course also includes examination and certification.

Back to Course Package
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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