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Insider Trading: Regulations and Prevention

 

This 3-hour online mini-course will give students a solid understanding of insider trading, how to identify and prevent it.

Upon completion of the course students will be able to:

  • Determine what is legitimate insider trading and what is illegal insider trading
  • Understand Canadian regulations on illegal insider trading
  • Identify the threats insider trading can pose to capital markets
  • Describe the relationship between front-running and insider trading
  • Identify CSA and IIROC insider trading guidelines and apply them to firm policies on insider information
  • Discuss the implications of insider trading rules for each dealer business unit
  • List the CSA, Criminal Code and IIROC penalties for insider trading
  • Describe the critical actions to be taken if exposed to material, non-public information, either intentionally or inadvertently

Firms must rely on the ability of their staff to act in accordance with the regulations involving insider trading. By keeping up-to-date on relevant rules and practices, students gain new knowledge and a level of confidence that reduces risk for all involved. Insider Trading: Regulations and Prevention will appeal to investment bankers, investment representatives and analysts, professional traders, research analysts, retail advisors, portfolio and investment managers and discount brokers.

QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
ENROLMENT PERIOD
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)

Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.

For details on the organizations and other information on CE Credits listed in the above charts, please click here.