This course is designed to help securities industry
professionals understand information barriers as they relate to the
safeguarding of material nonpublic information (MNPI) and the prevention of
insider trading. Through review of relevant laws and regulations, learners are
reminded of the foundational concepts of information barriers and review some
regulatory obligations of firms and associated persons regarding MNPI. Risks of
information barrier failure and potential risk control strategies are explored through
scenarios involving research and investment banking personnel.