Capital Markets Compliance

Capital Markets Compliance

Helping your employees act professionally across capital markets

In order to maintain fair and proper trading, all market participants must work compliantly. Insider trading – the act of using confidential information to trade on the stock market – is illegal. The same can also be said for market manipulation, where price is influenced by spreading false or misleading information. The legal frameworks that govern these actions are the European Market Abuse Regulation (MAR) and the European Directive on Criminal Sanctions for Market Abuse (MAD).

For the protection of private investors in particular, other international laws (e.g. MiFID II) and local jurisdiction (e.g. German WpHG) have to be complied with during each stage of the advisory process as well. After all, inaccurate investment advice can have a negative impact on a client’s finances, as well as posing problems for the business and its consultants.

Our training programme on ‘Capital Markets Compliance’ supports you in delivering the most important information about insider trading, market manipulation and private investor protection to your employees, while simultaneously helping you fulfil your legal training obligations. The modular structure allows you to tailor the programme by selecting the lessons that are most relevant – for example, only choosing those on insider trading for publicly traded companies or delivering lessons on investor protection for financial services providers.

Contents of this e-learning programme

The tutorial consists of a number of self-contained lessons. You can pick and choose any combination of lessons depending on whether you want to use the standard product or would prefer to customise. Click here to learn more about ’lessons’ and ’lesson types’.

  • Welcome
  • Insider trading law: An overview
  • Insider trading law: Recognizing insider information
  • Insider trading law: Handling insider information
  • Insider trading law: Measures to prevent insider trading
  • Insider trading law: Consequences of violations
  • Insider trading law: Case study – Management changes
  • Market manipulation: An overview
  • Market manipulation: Prohibited deceptive actions
  • Market manipulation: Measures to prevent market manipulation
  • Market manipulation: Consequences of violations
  • Investor protection: Fundamentals of investor protection
  • Investor protection: Client categories (customer service)
  • Investor protection: The three transaction types (customer service)
  • Test

Expert author

Dipl.-Kfm. Daniel WildhirtAs Partner at PricewaterhouseCoopers WPG (PwC), Daniel Wildhirt is responsible for a number of divisions including investor protection and compliance, strategy development and process optimisation. He is experienced in advising well-known banks about regulatory change and supporting them to implement new requirements. Mr Wildhirt is also co-author of 'Trends in Private Banking' (Bank-Verlag 2012) and previously worked in the Private & Wealth Management division of Deutsche Bank AG before joining PwC.

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References

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

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