Web-Based Training Series: Insider Trading

Insider Trading        





Illegal insider trading is harmful to the marketplace. The ethical arguments against insider trading draw attention to the disparity of information between the two parties to the transaction, the violation of property rights, and the undermining of investors' confidence in the market. This course will provide examples of illegal insider trading and list the main provisions under law governing legal insider trading. It also discusses the civil and criminal penalties incurred by insider traders and the companies that they work for. It identifies the main procedures that companies should take to prevent insider trades generally and specifically during pension fund blackout periods. The main rules regarding the reporting of insider trading are also discussed. SkillSoft's Legal Compliance courses are developed and maintained with subject matter support provided by the Labor, Employment, and Employee Benefits Law Group of the law firm of Sheehan Phinney Bass + Green PA.


Managers, supervisors, employees


1.5

Introduction to Insider Trading

  • distinguish between legal and illegal insider trading.
  • match ethical arguments against insider trading to examples.
  • identify the section(s) of security law that apply in a given scenario.
  • match the forms that insider traders must complete to comply with trading rules to examples.
  • recognize the information that must be completed on a Form 4 for a given scenario.
  • distinguish between penalties for illegal insider trading.

    • Preventing and Dealing With Illegal Insider Trading

  • identify how an effective compliance program can help to prevent insider trading.
  • recognize the benefits of using a compliance program to prevent inadvertent insider trading.
  • identify the transactions that are exempt during pension fund blackout periods to prevent insider trades.
  • recognize key concepts associated with protecting and rewarding those who report on insider trading.


    • LCO0117

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