“Since 2011, 35 people have been criminally prosecuted for insider trading because of ASIC investigations, with a conviction rate of over 85%.”
Protecting confidential information
This CPD course examines the occurrence of insider trading in financial services organisations in Australia.
We discuss the types of insider trading – including front running and insider market information – and ASIC’s role in prosecuting offenders. It looks at how inside information can be safeguarded, for example through the application of trading restrictions and Chinese walls.
We use examples from recent headlines and local cases – from the highly publicised Oliver Curtis and John Hartman case to the huge NAB trading scandal – to emphasise the importance of the issue. Industry knowledge and overall comprehension is reinforced by short, independent research activities and practical scenarios presented throughout the course.
Who is this training for?
This training is a must for every person who works in retail and institutional stockbroking firms, along with newcomers to the industry. People working in other financial services organisations may also benefit and deepen their understanding of the issue.
- What is insider trading?
- Inside information
- Trading policy
- Exemptions and defences
- Detection and reporting
Duration: 2 hours
CPD hours: 2