Personal Trading

Personal Trading is a high risk area for violation and this course is specifically designed for Registered Investment Advisors who need continuous awareness of their fiduciary duty to protect material nonpublic information. Enforcing insider trading laws has become a top priority for the federal government and this course reveals the consequences of violating insider trading laws, it also emphasizes how an employee can engage in illegal insider trading even without realizing they have violated the law. This course may be personalized to incorporate the personal trading policy and procedure of your firm, and will provide best practices advice for employees to follow to reduce risking the company’s reputation of integrity.


Click on the thumbnail to view a sample video:

Personal Trading

Topics coveredpersonal trading 1

Build a Corporate Culture of Compliance

Cordium offers a suite of online training videos to supplement your employee compliance training program. Our dynamic courses cover a wide variety of critical compliance issues. Cordium can customize training videos specifically for your needs.

Why Companies Choose Cordium Training Courses

In order to create a compliant culture, employees need to be trained to understand company policies or regulatory legislations. Create an engaging learning experience and make an impact with Cordium’s online video training.

Why Choose Cordium?

Engaging: Cordium Online Training Courses are visually compelling with simple design, clear audio narration and concise content to ensure employees absorb and retain the material.

Cost Effective: Our flexible suite of compliance courses can be purchased in a bundle or on an individual basis or included with an annual software subscription.

Convenient: Our training courses can be integrated with your classroom training or viewed at each employee’s convenience.

Customizable:
From adding your logo, recording audio in specific languages, or adding scenarios your employees can relate to, courses can be creatively designed to accommodate your company’s needs.

Track Progress: Our courses can be integrated with Cordium Compliance software to assign, monitor and certify training completion.

Courses Offered Include:

  • Code of Ethics
  • Conflict of Interest
  • Anti-Bribery / FCPA Compliance
  • Data Privacy
  • Insider Trading
  • Anti-Money Laundering
  • Corporate Policy Awareness
  • Code of Conduct
  • Data privacy
  • Gifts & Entertainment
  • Advertising & Marketing
  • IT systems & Social media
  • Record keeping
  • Political & Charitable Contributions
  • Audit & Employee Responsibility

About Cordium

Cordium is the leading global provider of regulatory compliance consulting, software and accounting and tax services to the asset management and securities industry. Today, Cordium supports more than 1,500 businesses, from start-ups to large firms with well-established track records. This puts us in a unique position to understand a wide variety of compliance training needs. With Cordium it’s more than merely fulfilling an obligation. Regulatory compliance is changing and we are spearheading the change.

Fill out the form to get more information on Cordium Online Training Courses

Request a Consultation