MARKET CONDUCT RULES

>>> Purchase Module (CHF 70) This module provides an overview of the definitions and regulatory requirements with respect to market manipulation and insider information and trading. The focus is on FINMA-regulated financial institutions, and contains an overview of European regulations. US and Japanese regulations are briefly commented to highlight similarities and differences. Self-reflection questions and a review exam at the end complete the module.

Average time needed for the module (indicative): ca 1h including reflection exercises. 

Course structure 

  • Introduction
    • What is market conduct and why it matters
    • Legal notes
    • Market manipulation and insider trading overview
  • Market manipulation
    • Market manipulation regulations in Switzerland
    • Market manipulation regulations in Europe
    • Market manipulation regulations in other selected countries
  • Insider information
    • Insider trading regulations in Switzerland
    • Insider trading regulations in Europe
    • Insider trading regulations in other selected countries
  • Practice
    • Cases in Switzerland
    • Cases in Europe
    • Cases in other selected countries
  • Internal controls and processes
    • Internal controls and FINMA circular
    • Psychological traps
  • Review Exam