Exploodo
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.

15 minEditable3D animated

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Languages:
DE, EN
Audio:
None
Formats:
Online training or SCORM 1.2 download
Version:
v1.12 (Dec 06, 2023)
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Categories:
Compliance
Info:
Other languages on request.
Editable with our authoring software.
Compatible with all common learning management systems (LMS).
Online learning platform included!
Target group:
Employees of companies or organizations.
Regions:
INTERNATIONAL
Didactics:
Story + Quiz
Keywords:
Financial market, financial market compliance, shares, securities, market participants, rules of the game, insider trading, market manipulation, financial market compliance regulation, market abuse regulation, MAR, MAD, European directive, criminal, sanctions, market manipulation, interactive, financial market compliance training, raise awareness, securities trading, sanctions, WBT, interground information, guidelines, conduct
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
Version history:
v1.12, Dec 06, 2023
v1.11, Oct 13, 2023
v1.10, Feb 24, 2022
v1.9, Feb 24, 2022
v1.8, Jan 07, 2021