Insider Trading & Securities Regulation
Gain a deep understanding of insider trading laws and securities regulations to ensure compliance and avoid legal pitfalls.
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Enroll now for early access of e-LMS
Online
Corporates
Moderate
1 hours
Advanced Corporate Governance, Law, Law Professionals
About
The Insider Trading & Securities Regulation program is designed to help finance professionals, corporate executives, and investors understand the legal framework surrounding securities trading. Insider trading violations can lead to severe penalties, reputational damage, and criminal charges. This course provides a comprehensive overview of securities laws, regulatory agencies such as the SEC and FINRA, and compliance strategies to prevent illegal trading. Participants will also explore real-world case studies to understand how insider trading investigations unfold and the ethical considerations of securities transactions.
Aim
- Educate participants on securities laws and insider trading regulations.
- Explain how regulators monitor and enforce compliance in financial markets.
- Provide strategies to prevent unlawful trading activities within organizations.
- Promote ethical decision-making in securities transactions.
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Program Objectives
- Understand what constitutes insider trading and its legal implications.
- Learn about major regulatory bodies, including the SEC (Securities and Exchange Commission), FINRA, and CFTC.
- Gain insights into key securities laws, such as the Securities Exchange Act of 1934 and Dodd-Frank Act.
- Develop strategies for compliance, including policies for corporate executives and financial professionals.
- Examine high-profile insider trading cases and lessons learned from enforcement actions.
Program Structure
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Module 1: Introduction to Securities Regulation
- Overview of financial markets and securities regulations.
- Role of regulatory bodies: SEC, FINRA, and international equivalents.
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Module 2: Understanding Insider Trading
- Definition of insider trading and material non-public information (MNPI).
- Legal vs. illegal trading activities.
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Module 3: Securities Laws and Compliance Requirements
- Key legislation: Securities Exchange Act of 1934, Sarbanes-Oxley Act, Dodd-Frank Act.
- Corporate policies for insider trading prevention.
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Module 4: Consequences & Enforcement Actions
- Penalties for violations: civil fines, criminal charges, and reputational risks.
- Case studies of insider trading scandals and their impact.
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Module 5: Ethical Investing & Best Practices
- How to trade legally while maintaining compliance.
- Best practices for executives, traders, and investors to avoid violations.
Participant’s Eligibility
- Financial professionals, stock traders, and investment advisors.
- Corporate executives and board members.
- Compliance officers and legal professionals in finance.
- Business students and investors seeking regulatory knowledge.
Program Outcomes
- Mastery of insider trading laws and securities regulations.
- Ability to identify and prevent unlawful securities trading practices.
- Understanding of corporate compliance programs for insider trading prevention.
- Knowledge of legal and ethical investing strategies.
Fee Structure
Discounted Fee: INR 1999 USD 29
Batches
Certificate
Program Assessment
Certification to this program will be based on the evaluation of following assignment (s)/ examinations:
| Exam | Weightage |
|---|---|
| Final Online Exam | 50% |
| Project Report Submission (Includes Mandatory Paper Publication) | 50 % |
To study the printed/online course material, submit and clear the mid term assignments, project work/research study (in completion of project work/research study, a final report must be submitted) and the online examination, you are allotted a 1-month period. You will be awarded a certificate, only after successful completion/ and clearance of all the aforesaid assignment(s) and examinations.
Program Deliverables
- Access to e-LMS
- Paper Publication Opportunity
- Self Assessment
- e-Certification
- e-Marksheet
Future Career Prospects
With increasing regulatory scrutiny in global financial markets, professionals with expertise in insider trading laws and securities compliance are highly sought after. This program provides a strong foundation for careers in regulatory compliance, financial law, and investment management.
Job Opportunities
- Securities Compliance Officer
- Corporate Legal Counsel (Financial Regulations)
- Financial Risk Analyst
- Investment Advisor (Ethical & Legal Trading)
- SEC & FINRA Regulatory Specialist
Disclaimer
This program provides educational insights into insider trading laws and securities regulation. It does not constitute legal or financial advice. Participants should consult regulatory experts or legal professionals for specific compliance-related concerns.
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