E-Learning Course

Financial Markets Compliance

To ensure fair and correct trading in stocks and securities, all market players must follow the rules. Any form of insider dealing or market manipulation is completely prohibited. The Financial Markets Compliance Regulation, the European Market Abuse Regulation (MAR) and the European Market Abuse Directive (MAD) were created to prevent market abuse. This interactive Financial Markets Compliance training familiarizes your employees with correct conduct in securities trading and in this way also protects your company. The educational contents of this course comprise both background information and relevant guidelines for correct behavior.

Duration 15 min
Author E-SEC
Publication Date 12/6/2023, 2:44:27 PM
Editable Yes
Table of Contents
  • Introduction
  • What is insider information?
  • Compliance Officers
  • Tasks
  • Confidentiality-related areas
  • The right way to handle insider information
  • Sharing insider information internally
  • Sharing with third parties
  • Consequences of breaches
  • Embargo period
  • Trading ban
  • Quiz

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