Insider Trading Online Training

Insider Trading Online Training

Insider trading is the trading of a public company’s stock or other securities by people who have access to non-public information about that company. Many cases of insider trading are illegal under local jurisdictions and carry severe penalties.

Whether trades are made to make money or to avoid losses, insider trading is a serious matter with potentially drastic consequences.

Employees at all levels of a business may have access to sensitive knowledge of the company before it is made publicly available, so it is highly important that they are given sufficient training that is repeated and updated on a regular basis.

Our insider trading online training course teaches employees what constitutes insider trading and how to prevent it, including real-world examples.

Who should take the Insider Trading online training?

This training is recommended for all employees

This course contains the following modules:

Video: You are an insider at our company. Must not use MNPI to improve your financial situation. Severe consequences. Rules.
Scenario: A client sharing inside information.
Key Learning: If you find yourself in possession of commercially sensitive or inside information, remember that you cannot share or trade on what you know.
Scenario: Broker has been instructed to increase shareholding, but you now have inside information.
Key Learning: Be sure to never share inside information, even if it means withholding an explanation for your actions from friends, family, or professional relationships.
Scenario: Request to keep knowledge that colleague has inside information quiet.
Key Learning: Speak up! If you see a red flag, alert the appropriate department immediately.
Assessment: Five-question quiz on the content presented in this topic.

Interactive Screen: Widespread insider trading would destroy confidence in stock market. Heavily regulated. External and internal penalties.
Scenario: Consequences of sharing inside information.
Key Learning: In addition to internal consequences, such as being demoted and even disciplined, employees who breach insider trading rules could face jail time, fines, and penalties.
Scenario: Consequences for individuals and companies found guilty of insider trading.
Key Learning: Internal consequences disciplinary action, demotion, and possibly termination. Impact on our company could include loss of license, loss of business, reputational damage, fines, and legal action.
Assessment: Five-question quiz on the content presented in this topic.

Interactive Screen: What is non-public information? What is material information? Sharing inside information is just as illegal as acting on it.
Interactive Screen: Examples of material information; financial, operational, sales/product, regulatory/legal.
Scenario: Sharing information.
Key Learning: Much of the information you access within our company, although of varying levels of sensitivity, is unlikely to be in the public domain. Therefore, you should not share it with anyone.
Scenario: Sharing information.
Key Learning: Don’t take any risks with MNPI. Important and sensitive information is not for sharing. If information is both material and unlikely to be in the public domain, it should be considered sensitive.
Assessment: Five-question quiz on the content presented in this topic.

Interactive Screen: Tippers and tippees. Penalties. Sharing information.
Scenario: First action to take if inside information is inadvertently shared.
Key Learning: If you inadvertently share material non-public information, telling someone “not to tell” will only make it more worthy of repetition. Reporting your breach to the Legal department is the best first step.
Scenario: Consequences of inadvertently tipping.
Key Learning: Don’t “tip off” by sharing MNPI. Speak up if you spot a red flag or breach.
Assessment: Five-question quiz on the content presented in this topic.

Interactive Screen: Insider trading policy. Who does the policy apply to? Additional restrictions. Trading windows.
Scenario: Request to trade declined due to designation and events not yet public.
Key Learning: If your application to trade in company shares is rejected, your only option is to appeal the decision.
Scenario: Restrictions and family members.
Key Learning: Partners, children, and any other financially dependent members of a household are prohibited from trading. They also should not share any information they have with anyone.
Scenario: Partner has sold shares without realizing their partner was restricted from trading.
Key Learning: Speak up! Never delay in reporting a breach.
Assessment: Five-question quiz on the content presented in this topic.

Summary screen that wraps up the module and attestation screen where learners attest that they will always adhere to insider trading policies.

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