Insider Trading and Securities Regulation – Instruction (Executive Version)
Über den Vortrag
Der Vortrag „Insider Trading and Securities Regulation – Instruction (Executive Version)“ von Lecturio Online Courses ist Bestandteil des Kurses „Insider Trading and Securities Regulation – Instruction (Executive Version)“.
Quiz zum Vortrag
At a meeting, Louise learns that a member of the company board is to be dismissed. Now she wants to sell her shares quickly, as she suspects that her securities will lose value if the dismissal of the Management Board member becomes known. Can Louise sell her shares?
- No
- Yes
Which statements regarding your duties as a manager are correct? (Multiple answers are possible.)
- You enforce the establishment and implementation of compliance programs and train your employees on insider trading.
- You disclose your personal purchases and sales of company shares and thus demonstrate transparency.
- You ensure that business relationships comply with legal requirements and consult the legal department in the event of uncertainties.
- You use insider information to make your clients the best offer according to the best execution rule and recommend securities with the best conditions.
- You foster business relationships by accepting and giving generous gifts as long as they are directly related to the transaction.
What measures do you have to take to prevent insider trading in your company? (Several answers are possible.)
- You train your employees and ensure that they know how to behave when handling sensitive information.
- You define processes and controls to monitor and log your employees' access to sensitive information.
- In the event of a breach, implement the standstill period and interrupt internal communication so that potential perpetrators cannot warn each other and coordinate motives.
- If you become aware of insider information, publish it in public forums to make the information transparent and thus usable.
Dozent des Vortrages Insider Trading and Securities Regulation – Instruction (Executive Version)
Lecturio Online Courses
Lecturio provides sustainable, simple and cost-efficient continuing education and training to companies and private customers. The e-learning catalogue consists of more than 7000 video-based courses covering over 80 topics. The focus is on compliance, leadership, project management, distribution, and medicine. Most of private customers use Lecturio in parallel to their studies and to prepare for their exams in medicine and law. Lecturio provides practical video-based online training—in German and English. Thousands of quiz questions help to measure and assess the learning success. Lecturio courses are available on all devices—and even offline with the iOS and Android app. Lecturio’s mission is to help companies and private customers to develop their full potential.
Kundenrezensionen
5,0 von 5 Sternen
| 5 Sterne |
|
5 |
| 4 Sterne |
|
0 |
| 3 Sterne |
|
0 |
| 2 Sterne |
|
0 |
| 1 Stern |
|
0 |
