Global Core · GC06
Global Core: Market Conduct, MNPI and Personal Account Dealing
A fund-industry course on material non-public information, market abuse, information barriers, watch and restricted lists, personal dealing, expert networks and escalation.
Designed for practical application.
A fund-industry course on material non-public information, market abuse, information barriers, watch and restricted lists, personal dealing, expert networks and escalation.
What you will be able to do
- Recognise potential MNPI and market-abuse risk.
- Protect information through barriers and controlled escalation.
- Follow personal-account dealing requirements.
- Identify suspicious orders, communications and conduct.
Course structure
01
Material non-public information
02
Market manipulation and misleading conduct
03
Information barriers and controlled sharing
04
Personal account dealing
05
Research, expert networks and corporate access
06
Surveillance, escalation and records
Assessment and evidence
ASSESSMENT
Module knowledge checks and a ten-question final assessment; pass mark 80%.
LEARNING EVIDENCE
Authenticated progress, assessment result, completion record and printable certificate.
GC06
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