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German Securities Trading Act (WpHG)

Capital Market Compliance - Investor protection and dealing with insider information

Capital market compliance: proper conduct in securities transactions

One of the lessons learned from the 2008/9 financial crisis triggered by the activities of financial services providers is that increased efforts are required on the part of banks to implement compliance measures. The German Federal Financial Supervisory Authority (BaFin) publishes minimum compliance requirements (MaComp), underlining the importance of such efforts. Accordingly, the compliance department at a bank is obligated to regularly train employees on compliance with the Securities Trading Act and ensure that they are informed of any new legal requirements.

The ‘Compliance with the German Securities Trading Act (WpHG)’ tutorial allows you to provide your employees with information on internal rules and laws regarding insider trading and market manipulation. Practical case studies are used to raise the awareness of your employees. The knowledge they gain here gives them greater confidence in conducting client consultations and improves the quality of advice offered. This in turn reduces the risk of compliance violations at your financial institution. Moreover, you can provide clarity on a complex issue and uphold the brand value and integrity of your company.

Contents of this e-learning program

‘Dealing With Information’ module (takes approx. 45 minutes to complete)

  • Practical example as an introduction to the subject designed to raise employee awareness
  • The different types of information
  • Dealing with confidential information
  • Handling insider information
  • Information security in the public domain and in relation to electronic media
  • Reports to the compliance department

‘Acting With Integrity’ module (takes approx. 30 minutes to complete)

  • Practical example as an introduction to the subject designed to raise employee awareness
  • General and special rules of conduct
  • Conflicts of interest
  • Market manipulation
  • Personal account dealings
  • Gifts and invitations

‘Protecting Customers When Giving Investment Advice’ module (takes approx. 45 minutes to complete)

  • Classifying customers
  • Securities services
  • Information requirements when giving investment advice
  • Documentation requirements
  • Best execution
  • Dealing with marketing materials
  • Dealing with financial analyses (research reports)

Expert author

Dipl.-Kfm. Daniel WildhirtAs Director of Customer Operations at PricewaterhouseCoopers WPG (PwC), Dipl.-Kfm. Daniel Wildhirt is responsible for investor protection and compliance as well as strategy development and process optimisation. Mr. Wildhirt has been advising well-known banks on the analysis of regulatory changes as well as optimising and implementing new and existing requirements. He is a co-author of the book Trends in Private Banking (bank-verlag 2012). Before joining PwC he worked in the Private & Wealth Management of Deutsche Bank AG.

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Referenzen

Financial services providers such as ADG, DZ BANK, HSH Nordbank, ING-DiBa, MLP, NordLB, TargoBank, and WestLB use web based trainings from Idox Compliance.

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