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.
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
Registered representatives, research analysts, and investment bank representatives
Find this course for your license:
License or Certification
Regulator
Type