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Dealing with insider information

Capital Market Compliance - Investor protection and dealing with insider information

Capital market compliance: dealing with insider information

Publicly-listed companies are subject to strict rules on how they deal with information that has the potential to influence share prices. Numerous laws prohibit the use of company information with regard to securities transactions if it is not or is not yet intended for publication. In spite of this, there is still a significant risk that critical information could unwittingly be disclosed to the public. If this were to occur, far-reaching consequences, such as heavy fines and prison sentences of up to five years, may result. On a similar note, a company’s reputation can be damaged merely by the suspicion that insider information has been handled inappropriately. 

With the learning program ‘Dealing with Insider Information’, your employees are trained with practical examples about handling insider information. By completing this tutorial, employees and managers will learn to recognize what duties and responsibilities they have and how they can act appropriately in specific situations.

Contents of this e-learning program

  • Introductory case example: What is a good tip?
  • Insider trading legislation: Insider securities, market fairness
  • What is insider information?: Indicators and examples
  • Dealing with insider information
  • Disclosure obligations: Ad-hoc-reports
  • Consequences of violations: The role of the BaFin, consequences for individuals and the company
  • Contacts in the company
  • Test

This web-based training program takes approx. 30 minutes to complete. In addition to the standard version of the learning program for the German market there is also an Austrian version available.

Expert authors

In the topic area of insider trading, Idox Compliance works together with the lawyers Dr. Holger Alfes and Dr. Torsten Fett. Dr. Alfes, an expert in stock corporation law and capital market legislation, has been with Noerr LLP in Frankfurt since 1999. Dr. Fett is office managing partner at Noerr in Frankfurt am Main and advises clients in the areas of bank supervisory law and investment law. Further information can be found at www.noerr.com

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