Course Brief
Topics to be covered include:
- Introduction
- Financial Crime
- Insider Trading and Market Abuse
Introduction
On completion, the candidate should:
- understand the need for regulation
- understand the main aims and activities of financial services regulators
- know the Chartered Institute for Securities & Investment Code of Conduct
- understand the key principles of professional integrity and ethical behaviour in financial services
Financial Crime
On completion, the candidate should:
- understand the terms that describe the three main stages of money laundering
- know the action to be taken by those employed in financial services if money laundering activity is suspected
Insider Trading and Market Abuse
On completion, the candidate should:
- know the offences that constitute insider trading and the instruments covered
- know the offences that constitute market abuse and the instruments covered