Conduct & Ethics · MC01
Market Conduct, Conflicts and Personal Account Dealing
Practical conduct standards for investment professionals, covering conflicts, gifts, outside interests, information barriers and personal dealing.
Designed for practical application.
Practical conduct standards for investment professionals, covering conflicts, gifts, outside interests, information barriers and personal dealing.
What you will be able to do
- Identify common conflicts across investment workflows.
- Apply controls for personal account dealing and inside information.
- Document decisions and escalate potential misconduct.
Course structure
01
Conduct foundations
02
Conflicts in investment management
03
Material non-public information
04
Personal account dealing
05
Gifts, entertainment and outside interests
06
Speak-up and escalation
Assessment and evidence
ASSESSMENT
Branching conduct scenarios; proposed pass mark 70%.
LEARNING EVIDENCE
Completion record and certificate.
MC01
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