Overview
This course provides foundational training on information barriers and the regulatory obligations firms and associated persons have regarding material non-public information (MNPI). Scenarios focusing specifically on the obligations of research analysts (RAs) and investment banks are included.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- define information barriers and give examples of different types of information barriers
- utilize firm written supervisory procedures (WSPs) and resources to comply with your obligations regarding information barriers.
- describe regulatory obligations of firms and associated persons relating to MNPI and its safeguarding
- explain illegal insider trading and some ways to prevent or detect it
Designed For:
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework