1. Compliance Management Training (EN)

Securities Trading (EN / 2019) von Lecturio Online Courses

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Über den Vortrag

Der Vortrag „Securities Trading (EN / 2019)“ von Lecturio Online Courses ist Bestandteil des Kurses „Compliance Management Training (EN)“. Der Vortrag ist dabei in folgende Kapitel unterteilt:

  • Compliance and Securities Trading - Insider Trading
  • Financial Services Company
  • Gifts
  • Insider Trading
  • International Relationships

Quiz zum Vortrag

  1. Access rights and Code of conduct
  2. Tackling corruption and Code of Ethics
  3. Money laundering
  4. Fraud prevention
  1. An individual can take over the Compliance function, but it can also be fulfilled by a department - it depends on the company.
  2. This function needs to be fulfilled by the Compliance Officer.
  3. The Compliance function and the duties of the Compliance Officer are regulated per Art. 10, 11 of the directive 95/22/EWG.
  4. The Compliance person has to be part of the company.
  1. The board/directors can absolve themselves of liability if everything possible has been done to comply with standards.
  2. The board/directors can always be held liable.
  3. The board/directors can absolve themselves of liability per EU Regulation 500/2014
  4. The board/directors cannot be held liable based on the Compliance regulation.
  1. The company is subject to stock exchange or non-stock exchange trading.
  2. Traded securities must be assigned to the market.
  3. Transaction of derivatives.
  4. The company defines itself.
  1. In general, gifts are prohibited.
  2. Yes, if a register of gifts is created, and if a gift is in the interests of the customer.
  3. Only if the value is below EUR 35.
  4. Yes, if the value is below EUR 50.
  1. Shares are offered to the public
  2. An insider security is a security which is traded on a domestic stock exchange.
  3. An insider security is a security which is traded on an international stock exchange.
  4. Shares are not offered to the public
  1. Information which could have a vital impact on value or price.
  2. The information itself is made available to the public.
  3. Shares offered to the public.
  4. The circumstances are not publicly known.
  1. When he is part of the transactions due to his involvement, or has specific knowledge.
  2. When he is part of the board.
  3. When he is an official employee of that institution.
  4. None of the above.
  1. Duty to maintain a list of insiders
  2. Duty to pass on information within the company, and to ensure that market relevant data reaches the market.
  3. Prohibition of sharing valid information with the general public
  4. Prohibition of Insider Trading
  1. Further training for the employees
  2. Introduction of policies and processes for dealing with insider information
  3. Insider law is different for Financial Services Companies.
  4. An external compliance department has to be set up.

Dozent des Vortrages Securities Trading (EN / 2019)

Lecturio Online Courses

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.

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