Insider Trading (2023)
About the Lecture
The lecture Insider Trading (2023) by Lecturio Online Courses is from the course Corruption and Insider Trading (2023).
Included Quiz Questions
You work in an investment services firm. In which case are you considered an insider? (Only one answer is correct)
- If you have non-public information that can significantly affect the price of a security.
- If you trade in your own company's shares.
- If you are employed by an investment services provider.
- If you inform yourself widely and read a lot of trade magazines.
How can you define inside information? (Only one answer is correct)
- As information that has a material effect on the price or price of a security and is not known to the public.
- As information that has a material effect on the price or price of a security and is known to the public.
- As information that does not have a material effect on the price or price of a security and is not known to the public.
- As information that does not have a material effect on the price or price of a security and is known to the public.
An acquaintance invests privately in shares. In which cases is he liable to prosecution? (Multiple answers are possible.)
- If he is professionally involved in a transaction relating to the relevant corporation.
- If he has received relevant inside information from decision-makers.
- If he has received a corresponding recommendation from decision-makers.
- If he has received an appropriate recommendation from a securities magazine.
What measures should your company's compliance policies include if it has or may have access to inside information? (Multiple answers are possible.)
- Implementation of policies and processes for handling inside information.
- Further training of your employees in dealing with insider information
- Documentation of all insider information of your company, the respective accesses, and responsibilities
- Outsourcing your compliance responsibilities
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Author of lecture Insider Trading (2023)
Lecturio Online Courses
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