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Continuing Education → Compliance / Business Conduct

Insider Trading & Tipping (LCI23C019)


Description
Embark on a thrilling adventure into the clandestine world of insider trading, where you'll unravel the mysteries of forbidden knowledge, dodge hefty fines and imprisonment, and learn to play by the rules in this game of financial intrigue!


1.0 IIROC Compliance 24-0031C
1.0 MFDA Business Conduct 1000003455
1.0 Financial Services Regulatory Authority of Ontario: Life or A and S
1.0 Alberta Accreditation Committee: Life (65555)
1.0 Insurance Council of British Columbia: Life or A and S
1.0 Insurance Councils of Saskatchewan Life or A and S
1.0 Insurance Council of Manitoba Life or A and S (41493)
1.0 FP Canada: Practice Management
1.0 CIM/PFP Compliance
1.0 CFA Standards, Ethics, Regulations
1.0 CPA Verifiable Ethics CPD
1.0 Advocis: Structured Learning
1.0 Law Society of Ontario Substantive Hours

Course Disclaimer:
For education purposes only. Curated content is not affiliated with Learnedly, and is streamed through their respective YouTube or Vimeo channels.

CE Credits: 1.0 MFDA CE Activity Cod...: 1000003455 IIROC: 1.0 IIROC Compliance 24-0031C MFDA: 1.0 MFDA Business Conduct 1000003455 FSRA: 1.0 Financial Services Regulatory Author... AIC: 1.0 Alberta Accreditation Committee: Lif... ICBC: 1.0 Insurance Council of British Columbi... ICS: 1.0 Insurance Councils of Saskatchewan L... ICM: 1.0 Insurance Council of Manitoba Life o... CFP / QAFP: 1.0 FP Canada: Practice Management CIM / PFP: 1.0 CIM/PFP Compliance CFA: 1.0 CFA: Standards, Ethics, Regulations CPA: 1.0 CPA: Verifiable Ethics CPD Advocis: 1.0 Advocis: Structured Learning Law Society of ON: 1.0 Law Society of Ontario Substantive H...

Content
  • Introduction (4:46)
  • ImClone (5:24)
  • The Vagueness of Insider Trading (7:15)
  • Understanding the Key Elements of Insider Trading (7:45)
  • Tipping (3:51)
  • Front-Running (5:08)
  • Monitoring Equity Markets in Canada - IIROC
  • Trade Surveillance Technology (3:28)
  • Know-Your-Client (KYC) (3:00)
  • Suspicious Trading Activity (2:47)
  • Creating Information Barriers (4:52)
  • Conclusion (3:00)
  • Final Test - Insider Trading & Tipping
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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