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At a Glance

Course length: 
11-30
Course type:
Full Length Course
Category: 
Compliance Training
Regulations: 
SEC - Insider Trading
Audience: 
All Learners
Topic: 
Insider Trading
Format: 
Rich Media

Insider trading isn’t just a risk for major company stockholders. Any employee, at any level of the business, is at risk for violating insider trading laws and policies.

The Insider Trading course provides employees with critical guidance and best practices to avoid violations. Employees will learn the definition of “inside information” and are encouraged to ask critical questions to help them spot risks and prevent violations – even inadvertent ones. Employees will also receive a checklist of best practices that can help both them, and the organization, avoid serious consequences.

Whether done on purpose or by accident, insider trading can put individuals and companies at serious risk. Comprehensive training can help lower that risk – keeping trades ethical and legal.

 

Course Details

  • All Learners
All Learners

Key concepts covered in this course:

  • Overview of inside (material, nonpublic) information
  • Who can commit insider trading
  • Best practices for maintaining confidentiality Definition and examples of inside information
  • Definition and examples of inside information
  • Keeping inside information confidential
  • Roles that could increase risk of exposure to inside information
  • Critical steps managers and employees can take to avoid insider trading
  • Five key ways to avoid insider trading
  • Consequences of insider trading
  • Raising concerns
  • Non-retaliation
  • Review of the critical role employees play
  • An opportunity to review key policies and certify