Securities Trading (EN / 2019)
About the Lecture
The lecture Securities Trading (EN / 2019) by Lecturio Online Courses is from the course Compliance Management Training (EN). It contains the following chapters:
- Compliance and Securities Trading - Insider Trading
- Financial Services Company
- Gifts
- Insider Trading
- International Relationships
Included Quiz Questions
Which of the following regulations need to be observed in terms of trading with securities? * You can select more than one answer.
- Access rights and Code of conduct
- Tackling corruption and Code of Ethics
- Money laundering
- Fraud prevention
Which statement(s) regarding the Compliance function is correct?
- An individual can take over the Compliance function, but it can also be fulfilled by a department - it depends on the company.
- This function needs to be fulfilled by the Compliance Officer.
- The Compliance function and the duties of the Compliance Officer are regulated per Art. 10, 11 of the directive 95/22/EWG.
- The Compliance person has to be part of the company.
With regards to the "Business Judgement Rule", which statement is correct?
- The board/directors can absolve themselves of liability if everything possible has been done to comply with standards.
- The board/directors can always be held liable.
- The board/directors can absolve themselves of liability per EU Regulation 500/2014
- The board/directors cannot be held liable based on the Compliance regulation.
What defines a Financial Services Company? * You can select more than one answer.
- The company is subject to stock exchange or non-stock exchange trading.
- Traded securities must be assigned to the market.
- Transaction of derivatives.
- The company defines itself.
Are gifts (e.g., a bottle of wine) allowed in financial services companies? * You can select more than one answer.
- In general, gifts are prohibited.
- Yes, if a register of gifts is created, and if a gift is in the interests of the customer.
- Only if the value is below EUR 35.
- Yes, if the value is below EUR 50.
What statements on Insider securities are correct? * You can select more than one answer.
- Shares are offered to the public
- An insider security is a security which is traded on a domestic stock exchange.
- An insider security is a security which is traded on an international stock exchange.
- Shares are not offered to the public
In terms of Insider Information, which statements are correct? * You can select more than one answer.
- Information which could have a vital impact on value or price.
- The information itself is made available to the public.
- Shares offered to the public.
- The circumstances are not publicly known.
When is an employee of a financial services company considered an insider?
- When he is part of the transactions due to his involvement, or has specific knowledge.
- When he is part of the board.
- When he is an official employee of that institution.
- None of the above.
What is regulated in Regulation (EU) No. 596/2014? * You can select more than one answer.
- Duty to maintain a list of insiders
- Duty to pass on information within the company, and to ensure that market relevant data reaches the market.
- Prohibition of sharing valid information with the general public
- Prohibition of Insider Trading
When implementing the compliance function in practice, what should you keep in mind? * You can select more than one answer.
- Further training for the employees
- Introduction of policies and processes for dealing with insider information
- Insider law is different for Financial Services Companies.
- An external compliance department has to be set up.
Author of lecture Securities Trading (EN / 2019)
Lecturio Online Courses
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