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Free course template · Global

Personal account dealing: Pre-clearance, restricted lists and conflicts for investment staff

A ready-made course, live deck and three surveys for all staff. AhaSlides tracks progress, completion and scores for you. 25 minutes, 5 lessons, 10-question final check. Last reviewed 13 November 2026; not legal advice.

By AhaSlides

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Personal account dealing: try 3 questions

Three questions from this course. Pick an answer, then see why.

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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.

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Completion is tracked for you

Learners sign in to take the course, so every start, finish and score is recorded in AhaSlides. No spreadsheet to keep.

  • Who has finished

    See who has not started, who is in progress and who has completed the course.

  • Every score

    Each learner's result on the 10-question final check, against the 80% pass mark.

  • What landed

    Survey results show what people took away and what to change next time.

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5 lessons, about 25 minutes

What learners can do at the end of each lesson. Minutes are an estimate.

  • Lesson 1: Why personal trading is controlled · 5 min

    Before you begin · Clients first · Check your understanding

  • Lesson 2: What is covered · 5 min

    Covered accounts and trades · Covered or not? · Check your understanding

  • Lesson 3: Before you trade · 7 min

    The steps · Practise · Practise · Check your understanding

  • Lesson 4: Reporting and attesting · 4 min

    Reports · Breaches and what happens next

  • Lesson 5: Final assessment · 4 min

    Final assessment · Course complete

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Often taught together

Courses teams often run alongside this one.

Also listed in

  • Banking & Financial Services Training
  • Global
  • AhaSlides
  • Financial services
  • Investment & wealth management
  • Regulated & licensed firms
  • Legal, compliance & risk
  • Finance & accounting
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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).

All staff at asset managers, wealth managers, brokers and investment banks who trade in their own accounts, especially access persons; run by compliance 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 pre-clearance system
Then edit anything else you like: wording, scenarios, your logo.
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Ready to run it?

Free. Copy the course, live deck and all three surveys into your AhaSlides account in one click.

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