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Insider Trading: Regulations and Prevention

 

Protect Yourself and Your Firm by Differentiating between legitimate and illicit insider trading

Insider trading scandals have rocked capital markets worldwide and are unfortunately no longer considered uncommon. To help safeguard the integrity of the financial services industry and protect yourself and your firm, it’s important for investment industry personnel to grasp the differences between illegal and legitimate insider trading. By gaining and acting on this knowledge when appropriate, investment dealers and their staff can fulfill their gatekeeper responsibilities and help bolster investor confidence in capital markets.

This course gives investment dealer personnel an educated edge

The Insider Trading: Regulations and Prevention course provides students with the knowledge they need to reduce their personal risk and successfully accomplish their duties. It will give them an overview of insider trading – how to identify it, the pertinent Canadian regulations, and the serious threat it can pose to capital markets. Investment dealer staff will become adept at preventing and dealing with insider trading violations, helping safeguard themselves, their firms and the integrity of the capital markets.

Who should enrol?

Insider Trading: Regulations and Prevention is designed for students at securities firms, banks, and trust firms. This includes investment advisors, retail and institutional supervisors, investment bankers, research analysts, professional traders, portfolio and investment managers, and discount brokers. This online mini-course qualifies for 3 hours of IIROC CE Compliance or Professional Development credits.