The lecture Securities Trading (EN / 2019) by Lecturio Online Courses is from the course Compliance Management Training (EN). It contains the following chapters:
Which of the following regulations need to be observed in terms of trading with securities? * You can select more than one answer.
Which statement(s) regarding the Compliance function is correct?
With regards to the "Business Judgement Rule", which statement is correct?
What defines a Financial Services Company? * You can select more than one answer.
Are gifts (e.g., a bottle of wine) allowed in financial services companies? * You can select more than one answer.
What statements on Insider securities are correct? * You can select more than one answer.
In terms of Insider Information, which statements are correct? * You can select more than one answer.
When is an employee of a financial services company considered an insider?
What is regulated in Regulation (EU) No. 596/2014? * You can select more than one answer.
When implementing the compliance function in practice, what should you keep in mind? * You can select more than one answer.
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