ENTRIMA logo

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
Image of the ENTRIMA app on a smartphone

24/7 Learning & Consultation

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.

Download the app on the iOS app store Download the app on the Google Play store

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

ENTRIMA’s Learning Platform provides access to a rich variety of courses which is really valuable for a life-long learner. You can access the content anytime and very easily, using your time wisely to study and grow.

Onest-Dan Gheorghisor
Sr. Expert Energy Trading & Risk Management B2B & B2C Sales OVM Petrom

Nice and user friendly learning platform. Even complicated topics become fun to learn.

Olga Yurkiv
Finance consultant at Dyco Trade

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
CMEXS + Supervisory Board at European Commodity Clearing