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
What is meant by insider trading? (Only one answer is correct.)
- Trading in securities based on information that is not publicly available.
- Trading in shares due to price increases on the stock exchange.
- Trading in securities despite high-risk analyses.
- Trading in securities attributable to the company itself.
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)
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