Take 5 to think about Market Conduct
Increased market volatility and unprecedented changes to the working environment pose challenges to the fair and orderly operation of financial and other markets.
This bite-size module has been developed specifically for financial services organizations. It focuses on the challenges to the fair and orderly operation of financial and other markets that arise from current market instability and the unprecedented changes to the working environment.
The scenarios in this module reflect the risks highlighted by the UK’s Financial Services Authority (FCA) in Market Watch 63 on Market Conduct and Discipline during the COVID-19 crisis. It addresses issues such as insider dealing and market manipulation in volatile market conditions, rumor spreading, confidentiality and collusion with competitors, and other competition law risks.
This module explores the following scenarios:
- A colleague sends worrying news via email
- Taking work calls on a personal cell phone
- What to do if you notice something suspicious in the market
- An old friend asks for a favor
- Industry discussions in a virtual break-out room
Suitable for all
Up to 5 mins
End test included as standard
SCORM 2004 (3rd/4th edition)
SCORM 1.2/2004 (3rd/4th edition) compliant LMS platforms including:
- PeopleFluent LMS (formerly NetDimensions)
Internet Explorer 11
Responsive content may be viewed on:
- Tablet device
Recommended connection speed 512 KBPS
Please request a trial if you would like to review the course. Your business development manager will be in touch to discuss next steps. If you are a user that requires 10 licences or less