Securities Related Regulations
About This Course
As financial institutions expose to an increasingly diverse spectrum of compliance exposures, it is difficult for their appointed representatives to keep up with them. Appointed representatives may inadvertently cross the line for market abuse without realizing. This course will highlight the regulatory risks faced by the appointed representatives.
Learning Outcomes
- Understand the purpose of securities regulations
- Understand local market abuse regulatory framework
- Identify the different types of market abuse
- Case study 1: Insider trading
- Case study 2: Front running
- Know the different approaches used to management market abuse
Module 1: Purpose of Securities Regulations
Module 2: Local Market Abuse Regulatory Framework
Module 3: Types of Market Abuse
Module 4: Case Study: Insider Trading
Module 5: Case Study: Front Running
Module 6: Effective Management of Market Abuse
The Financial Training Scheme (“FTS”)
The Salmon Thrust CPD Series is aimed at raising the competencies of Covered Persons. This course is recognised under the IBF Financial Training Scheme. Completion of this course can be counted towards the fulfilment of the non-STS portion for CACS CPD.
The Financial Training Scheme (“FTS”) is a training incentive scheme supported by the Financial Sector Development Fund (FSDF). The scheme supports financial sector-specific training programmes that raise the competency of the financial sector.
All our programmes are approved for listing on the Financial Training Scheme (FTS) Programme Directory and are eligible for FTS claims, subject to all eligibility criteria being met. For latest development on the Funding Support for IBF FTS, please visit the Financial Training Scheme site.
Early Bird Discount
Enjoy 10% early bird discount when you register one (1) month before the course commencement date.
Course Features
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CPD
1 Hour
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FAA/SFA
1 Hour