Lesson 1: Why market abuse matters · 8 min
Before you begin · Fair markets and the rules that protect them · Check your understanding
Three pieces that work together
Learners prepare on their own, you answer questions live, and the surveys tell you what stuck. 2 fields to fill in with your own policy, contacts and locations; each one is highlighted inside the course.
What would you do?Over lunch, a client mentions that their company is about to receive a takeover offer. Nothing is publicDo not deal or share it, and tell compliance so they can restrict the stockBuy a few shares for yourselfMention it to your desk head so they can position the book
Live deckQuiz · 4 slidesContent · 1 slideWord cloud · 1 slideScale · 1 slide
Feedback surveyHow much do you agree with each statement? I can:How often do you handle information or orders that could be price sensitive?What do you most want to get from this course?Overall, how would you rate this course?
6 lessons, about 45 minutes
What learners can do at the end of each lesson. Minutes are an estimate.
Lesson 2: Inside information · 7 min
The four parts of the test · Inside information or not? · Check your understanding
Lesson 3: Insider dealing and unlawful disclosure · 10 min
Dealing, recommending, inducing, disclosing · Market soundings and wall-crossing · Practise · Practise
Lesson 4: Market manipulation · 10 min
False signals and price securing · Patterns to know · Legitimate or suspicious? · Check your understanding
Lesson 5: Surveillance and escalation · 5 min
Insider lists, recorded lines, surveillance · Raising a suspicion, without tipping off
Lesson 6: Final assessment · 5 min
Final assessment · Course complete
Often taught together
Courses teams often run alongside this one.
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Also listed in
Banking & Financial Services Training European Union AhaSlides Financial services Investment & wealth management Regulated & licensed firms Legal, compliance & risk Sales teams Finance & accounting
Common questions
Yes. The course, the live deck and all three surveys are free. Claiming the template into your AhaSlides account is free too.
Yes. The course is self-paced and online, and the live deck lets you add a live session in the room or online.
At onboarding or as continuing professional development, with a yearly refresher (best practice).
Traders, portfolio managers, sales, research and investment banking staff, and their assistants; run by compliance, surveillance or training teams.
Record completion in your own LMS or record system, so you can show who finished the course and when.
Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply.
Your own details, each highlighted inside the course:
- Link to your live session deck
- Link your market abuse procedures
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