ACA Compliance Group is excited to announce the expansion of its online training platform which allows ACA to provide a variety of customized trainings for registered investment advisers across the industry.
The newest course now available on the platform addresses the insider trading risks faced by investment advisers. The course is designed to provide a broad understanding of U.S. insider trading regulations and the role you play in helping to protect your firm.
Our web-based training course provides investment advisers with an effective and comprehensive overview of insider trading regulations and the risks inherent in the advisory industry. During the course, employees will learn:
- How to recognize material non-public information (MNPI)
- How to identify common sources or situations where MNPI may be transmitted
- What steps employees must take if they come into contact with MNPI
- Practical guidance for handling the receipt of MNPI in order to protect your firm’s reputation and yourself personally
This course includes knowledge checks during the training, as well as a scored, 12-question final exam. Attendance tracking, completion records, and the scores for each participant are recorded for review and regulatory records.
Who Should Take Our Course?
This course is designed to provide a convenient, cost-effective method of providing general Insider Trading knowledge to complement your firm’s compliance training programs. This course is appropriate for employees at any size investment firm that could come into contact with material non-public information.
Sample the Course
Please register for a complimentary sample of the course here.