Guarding Against Insider Trading: Global Strategies, Compliance and Practices
What you'll learn
Explore the definition and characteristics of insider trading
Discover the different types of insider trading, including classical, misappropriation, and tipper/tippee trading.
Master the laws and regulations on insider trading in United States by The U.S. Securities and Exchange Commission
Discover effective practices for detecting and preventing insider trading, including identifying insider information, recognizing red flags etc.
Requirements
Familiarity with key financial terms such as stocks, mutual funds, securities and trading would be beneficial.
Description
Do you know that even unintentional involvement in insider trading carries serious consequences? Understanding insider trading isn't just about protecting yourself from negative consequences, but also safeguarding the well-being of your organization. As we delve into the realm of insider trading prevention, you'll discover that equipping yourself with knowledge in this area is not only prudent but a necessity. In this comprehensive course, we dive deep into insider trading prevention, arming you with expertise to proactively combat unethical practices.Throughout this course, you will:Gain insights into the legal and ethical dimensions of insider trading, enabling you to detect and thwart violations effectively.Master key acts and provisions of insider trading regulations in the United States, all with a global perspective.Learn to identify types and red flags of insider trading, developing the skills to promptly recognize suspicious activities and take preventive action.Immerse yourself in best practices for fostering a culture of compliance, integrity, and accountability within your organization.Engage with case studies and real-life examples illustrating detection and prevention of insider trading across diverse scenarios.Acquire practical insights into reporting suspected violations and establishing robust monitoring mechanisms in your organization.Understanding and preventing insider trading is pivotal for maintaining transparent markets, safeguarding shareholder interests, and upholding ethical standards. Enrolling in this course empowers you to contribute to a robust ethical culture and mitigate insider trading risks.What sets this course apart is my background in compliance and regulations. As an experienced instructor, I've delivered high-quality courses that resonate with professionals. Courses like Anti-Money Laundering have equipped professionals with practical insights and actionable strategies, fostering excellence in preventing financial crimes.This course doesn't stop at theory – it offers practical activities and case studies mirroring real-world scenarios. You'll apply your learning to prevent insider trading incidents and fortify your organization's risk management framework.Don't miss out on becoming a trusted insider trading prevention champion. Enroll now and embark on this transformative journey to safeguard against insider trading within your organization. Let's delve into the complexities of prevention, empowering you with actionable strategies.I look forward to seeing you in the course!
Overview
Section 1: Introduction
Lecture 1 Introduction to Insider Trading
Lecture 2 Who is an Insider?
Lecture 3 What is Insider Trading?
Lecture 4 Importance of Preventing Insider Trading
Lecture 5 Real-life example on Insider Trading: Martha Stewart
Section 2: Types of Insider Trading
Lecture 6 Classical, Misappropriation, and Tipper/Tippee Insider Trading
Section 3: Laws & Regulations on Insider Trading
Lecture 7 Overview of Laws and Regulations on Insider Trading Globally
Lecture 8 The Securities Exchange Act of 1934 and Rule 10b-5
Lecture 9 The three elements of Rule 10b-5
Lecture 10 Section 16(b), Rule 14e-3
Lecture 11 Regulation FD (Fair Disclosure), Rule 10b5-1, Section 15(d)
Lecture 12 The Insider Trading and Securities Fraud Enforcement Act of 1988
Section 4: Detecting & Preventing Insider Trading
Lecture 13 Identifying Insider Information
Lecture 14 Red Flags of Insider Trading
Lecture 15 Best Practices for Preventing Insider Trading
Section 5: Penalties for Insider Trading
Lecture 16 Penalties associated with Insider Trading
Lecture 17 Rajat Gupta: A High Profile Insider Trading Case
Employees of organizations who seek to enhance their knowledge and skills in preventing insider trading within their organization,Compliance officers and legal professionals within organizations who wish to deepen their understanding of insider trading regulations and enhance their ability to develop and implement effective prevention measures,Management professionals who want to understand the implications of insider trading and its potential impact
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