Learning Platform - "Markets & Trading"
Course: Trade Surveillance – The Basics
About the online training programme
This course concerns the fundamentals of trade surveillance. It is explained how markets can be monitored and what aspects are of relevance. This course shows how to assure effectiveness.
Course Contents
This course covers the following video lessons:
- Introduction
- Avoid violations
- Risk identification – Assessment & control
- Criterion – Effective
- Criterion – Appropriate
- Criterion – Proportionate
- Scope
- Case handling – Incident management & reporting
- Investigation & reporting
- Case building
- Discretion
- Effective market monitoring – Procedures
- Effective market monitoring – People
- Effective market monitoring – Systems
- Effective market monitoring – Methods – Introduction
- Effective market monitoring – Methods – Statistical reviews
- Effective market monitoring – Methods – Combining types of trading
- Effective market monitoring – Methods – Monitoring financial performance
- Effective market monitoring – Methods – Periodic reviews
- Effective market monitoring – Methods – Ad hoc analysis
- Effective market monitoring – Methods – Storage of communication data
- Effective market monitoring – Methods – Optimise culture
- Effective market monitoring – Methods – Whistleblowing
This course also includes examination and certification.
