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This 3-hour online mini-course will give students a solid understanding of insider trading, how to identify and prevent it.

Upon completion of the course students will be able to:

  • Determine what is legitimate insider trading and what is illegal insider trading
  • Understand Canadian regulations on illegal insider trading
  • Identify the threats insider trading can pose to capital markets
  • Describe the relationship between front-running and insider trading
  • Identify CSA and IIROC insider trading guidelines and apply them to firm policies on insider information
  • Discuss the implications of insider trading rules for each dealer business unit
  • List the CSA, Criminal Code and IIROC penalties for insider trading
  • Describe the critical actions to be taken if exposed to material, non-public information, either intentionally or inadvertently

Firms must rely on the ability of their staff to act in accordance with the regulations involving insider trading. By keeping up-to-date on relevant rules and practices, students gain new knowledge and a level of confidence that reduces the risk for all involved. Insider Trading: Regulations and Prevention will appeal to investment bankers, investment representatives and analysts, professional traders, research analysts, retail advisors, portfolio and investment managers, and discount brokers.