Home / Compliance solutions / Capital Markets Compliance

Capital Markets
Compliance.

Insider trading and market manipulation can do untold damage to companies, and the consequences for those engaging in them can be severe. If your employees are to recognise the warning signs, however, they need clear and up-to-date training. Our Capital Market Compliance learning programme gives a thorough overview of the law and how it relates to your employees’ day-to-day activity, deploying learning science to drive behavioural change.

Book a demo

Trusted where compliance matters

E-learning courses

Capital Market Compliance
training solutions.

Our training programme on ‘Capital Markets Compliance’ supports you in delivering the most important information about insider trading, market manipulation and private investor protection to your employees, while simultaneously helping you fulfil your legal training obligations. The modular structure allows you to tailor the programme by selecting the lessons that are most relevant – for example, only choosing those on insider trading for publicly traded companies or delivering lessons on investor protection for financial services providers.

Book a demo

Lesson contents

Insider trading law, market manipulation, investment advice.

The course consists of a number of self-contained lessons. You can pick and choose any combination of lessons depending on whether you want to use the standard product or would like more options.

Example lessons to mix and match:

An Overview
Recognising Insider Information
Handling Insider Information
Measures to Prevent Insider Trading
Consequences of Violations

Course details

Never "one-size-fits-all" training

About "Mix & Match" About our Adaptive Learning.

With our Mix & Match approach, you can freely select and combine individual modules and choose the appropriate form of training – from texts and images to videos, animations and simulations.

We offer adaptive learning solutions that tailor training content to the individual learning behavior and knowledge level of the learners to ensure an effective learning experience.

Media & formats

Variety for learner engagement.

A mix of different media and formats address preferred learning styles and increase learners’ engagement around Capital Market Compliance training topics.

Eg.

Text & images
Single/multiple choice questions
Video formats
Animations
Simulations
Gamified elements

Enquire now

FAQs

Capital Market Compliance elearning course FAQs.

Where does the information in your Capital Market Compliance course elearning come from?

Mr. Daniel Wildhirt, M.B.A., is a partner at PricewaterhouseCoopers WPG (PwC), where he works in the areas of investor protection and compliance as well as strategy development and process optimisation.

Mr. Wildhirt has been advising well-known banks for many years in the analysis if regulatory changes and on the optimisation and implementation of new and existing requirements. He is Coauthor of the reference book "Trends in Private Banking" and worked in Private & Wealth Management at Deutsche Bank AG before joining PwC.

Is the Capital Market Compliance course information kept up-to-date?

Yes. Our product experts keep a close eye on legislation changes and updated requirements, releasing new lessons or amendments to ensure that your training is up-to-date.

I don’t have an LMS – can I use your content?

Yes. We’ll set you up with our learning platform to deploy your learning with ease. Depending on your requirements, this can be up and running in as little as a day. But, if you have more complex or involved employee compliance requirements, the platform is an agile and straightforward way to bring together all your employee compliance management requirements.

Learn more

I already have an LMS – will your content work with it?

Yes. All our content is SCORM and TinCAN/xAPI compliant and can be easily integrated with your existing training ecosystem.

Product sheet

Download our Capital Market Compliance elearning course info sheet.

Are you in the HR team, doing research for your compliance function? Download our one-page info sheet, which summarises the key facts about our Capital Market Compliance training.