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Insider Trading

This Insider Trading course explains the laws prohibiting insider trading and the key components of insider trading law and policy. It provides guidelines to help all employees understand the law and avoid the serious civil and criminal penalties that can result from trading (or helping others trade) in stock based on "inside" information.

Geography Covered: Americas | Duration: 30 minutes

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Summary

Investing in the stock market has become an important factor in the financial lives of millions of people across many income levels. News reports of fortunes being won and lost in the stock market can tempt employees to try to capitalize on "inside" information that they learn at work before it is available to the general public and partake in insider trading. But whether these employees buy or sell stock themselves or "tip" others to do so, their activities could violate federal securities laws and lead to severe fines and even prison sentences — for themselves, their supervisors, friends and family, and their company.

Thus, it is essential that public companies — and businesses that come in contact with material, nonpublic information about public companies — provide their employees with a basic understanding of insider trading law and policy.

The topics covered in the course include:

  • Overview of insider trading
  • What information is "material"?
  • What is "non-public" information?
  • Who may be liable for insider trading?
  • Civil and criminal penalties for insider-trading violations
  • Rule 10b5-1 Plans
  • Insider trading and Regulation FD
    • Avoiding Insider Trading (US)
    • Insider Trading (North America)
    • Insider Trading - Game-Based Assessment

  • Like with all our courses, the Insider Trading courses are written by experts and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.

    All our training courses are driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.

    We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and helps you build a culture of integrity and compliance.

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