The flow of information in financial firms needs monitoring between businesses involved with private and public side activities. These information barriers comprise of physical, technological and organisational barriers.
Private side activities routinely have access to private information such as credit or corporate finance. Businesses involved in public side activities could act on information such as equity or credit research.
Our Information Barriers Course explains the different kinds of Information Barriers and which laws and regulations these help firms comply with.
Available as part of our FCA Compliance Library.
This course will prepare your employees to:
- Managing/limiting the flow of information
- Exercise: Private versus Public Side
- Proprietary traders & flow traders
- How are Information Barriers maintained?
- Other purposes
- Investment decision-makers
- Regions of operation
- Exercise: What is Inside Information?
- Cases of insider dealing
- Case Study: A finance professional
- Case Study: A desk analyst
- Case Study: An ICG Salesperson
- Resolution: How to avoid perceived improprieties
- Situations that warrant Wall Crossings
- What should you do upon being Wall Crossed?
- Inadvertent Wall Crossings
- Case continued
- Notes of advice
Approximately 45-minute long e-learning course followed by a 10-question assessment.
Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.
SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via a client style sheet.
All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.
Fully customisable on Skillcast Portal CMS.
Pre-translated versions not available, but all text content can be exported for translation into all languages.
Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.