Capital market 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.
Stay up to date and risk free.
Change-making content.
Customised to your needs.
Easy, fast deployment.
In your language.
What our ready-made
programme offers.
Every organisation has different gaps in understanding to fill. Our Mix & Match system lets you choose only the modules your employees need, and includes a range of lesson types from text and images to video, animations and simulations.
Learning managers can select from a range of lessons on insider trading, market manipulation and investor protection. Modules include:
- Welcome.
- Insider Trading: Overview.
- Insider Law: Recognise insider information.
- Insider Law: Dealing with insider information.
- Insider Trading: Measures to prevent insider trading.
- Insider Trading: Consequences of violations.
- Insider Law: Practical case – change in the board of directors.
- Market Manipulation: Overview.
- Market Manipulation: Prohibited acts of deception.
- Market Manipulation: Measures taken to prevent market manipulation.
- Market Manipulation: Consequences of violations.
- Investor Protection: Basics of investor protection.
- Investor Protection: Customer categories (customer advice).
- Investor Protection: Three types of business (customer advice).
- Assessment.
Dipl.-Kfm. Daniel Wildhirt is a partner at PricewaterhouseCoopers WPG (PwC) in compliance. He has advised banks on regulatory innovations and implementation, and is co-author of the reference book Trends in Private Banking.
Major corporations using our capital market compliance programmes include ADG, DZ BANK, HSH Nordbank, ING-DiBa, MLP, NordLB, OLB, TargoBank and WestLB.
Looking to create something special?
Sponge is industry-famous for cutting edge bespoke solutions. Clients come to us to set new standards for what an online compliance learning experience can be. When the topic is dry, the experience is everything.
Cutting-edge,
tailored solutions.
Our range of services responds to your specific learning needs – whatever form they take.
Consultancy.
Curious about how employees are learning? Want to know what gaps need filling? Our consultants can offer expert help.
Bespoke.
Our award-winning bespoke solutions can make compliance a stimulating learning experience – not just a practical necessity.
Mix & Match Solutions.
Create a flexible, distinctive programme for your employees by picking and choosing from a range of different modules.
Enhance your learning.
Sponge also provides optional content delivery and reporting systems to help you take control of your organisation’s learning.
Sponge LMS.
Our user-friendly Learning Management System makes it straightforward to manage compliance training and track users’ progress.
Want to know more about Capital Market Compliance?
We’d love to hear from you with any questions about our unforgettable learning programmes.