Take 5 to Think About Market Conduct

Increased market volatility and unprecedented changes to the working environment pose challenges to the fair and orderly operation of financial and other markets.

This bite-size module has been developed specifically for financial services organizations. It focuses on the challenges to the fair and orderly operation of financial and other markets that arise from current market instability and the unprecedented changes to the working environment.

The scenarios in this module reflect the risks highlighted by the UK’s Financial Services Authority (FCA) in Market Watch 63 on Market Conduct and Discipline during the COVID-19 crisis. It addresses issues such as insider dealing and market manipulation in volatile market conditions, rumor spreading, confidentiality and collusion with competitors, and other competition law risks.

Learning Scenarios

This module explores the following scenarios:

• A colleague sends worrying news via email
• Taking work calls on a personal cell phone
• What to do if you notice something suspicious in the market
• An old friend asks for a favor
• Industry discussions in a virtual break-out room

Format
SCORM 1.2
SCORM 2004 (3rd/4th edition)
HTML5

Hosting Environment
SCORM 1.2/2004 (3rd/4th edition) compliant LMS platforms including:

• Moodle
• Cornerstone
• SumTotal
• Saba
• PeopleFluent LMS
  (formerly NetDimensions)

Browser Support
Internet Explorer 11
Edge
Chrome
Firefox
Safari
(Pop-up blockers disabled and JavaScript must be enabled)

Learner Environment
Responsive content may be viewed on:

• Desktop
• Laptop
• Tablet device
• Smartphone

Recommended connection speed 512 KBPS