Information Barriers
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.
- 45 Minutes
- All staff
- Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.
Learning objectives
- Examine the difference between public and private-side information in a firm
- Understand what information barriers are
- Recognise the laws and regulations driving the need for Information Barriers
- Identify what conflicts can arise due to the flow of information
- Recognise how information barriers work to control the flow of information
- Explain how violations of 'Chinese Walls' are handled
What can you expect your employees to learn?
Welcome
Information Flow
- Managing/limiting the flow of information
Private versus Public Side
- Exercise: Private versus Public Side
Information barriers recap
How are Information Barriers structured?
- Proprietary traders & flow traders
- How are Information Barriers maintained?
- Other purposes
- Investment decision-makers
Control room/compliance
- Regions of operation
Defining inside information
- Applying the Inside Information Rule
- Exercise: What is Inside Information?
Inside information
- Cases of insider dealing
- Exceptions
- Resolution
Inside information can affect anyone
- Examples: How you could receive inside information
- Perceived abuse of the inside information
- Case Study: A finance professional
- Case Study: A desk analyst
- Case Study: An ICG Salesperson
- Resolution: How to avoid perceived improprieties
Your responsibilities
- Case study: Careless sharing
- Exercise
Wall Crossings
- Situations that warrant Wall Crossings
- What should you do upon being Wall Crossed?
Intentional Wall Crossings
- Exercise
- Inadvertent Wall Crossings
- Case
- Exercise
- Case continued
Conclusion
- Notes of advice
Summary
Affirmation
Assessment
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Your questions, answered
Financial Crime
Common FAQs
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What file types are supported by the Skillcast system?
Features |
Supported file types and details |
|
File Exchange |
File types: PDF, Excel spreadsheets, Word documents, SCORM and xAPI files, and compressed zip files. Max file size: Default is 1GB, can be increased to a max of 2GB |
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SCORM files |
Versions: SCORM 1.2, SCORM 1.2 for Moodle, SCORM 2004 2nd, 3rd and 4th Edition. Max file size: 1024MB |
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xAPI file |
Max file size: 2GB |
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Videos |
File types: MP4 or MOV. Videos must be optimised, with a max file size of 100MB. If the file is bigger, our Design Team can help |
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Images |
File types: jpg, png and gif. The file size should ideally be 100KB, but it can be up to 250KB |
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CPD evidence |
File types: Word, PDF, Excel and CSV. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB |
|
Policy documents |
PDF or Word File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB |
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Offline activities evidence |
File types: PDF, DOC, DOCX, XLS, XLSX, CSV, PNG, GIF, JPEG, JPG, PPTX and MSG. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB |
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Client logo files |
File types provided by client: EPS, PDF, AI and SVG |
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Registers |
PDF, DOC, DOCX, XLS, XLSX, CSV, PPT, PPTX, POT, PPA, PPS, JPG, JPEG, PJEPG, PNG, BMP, GIF, MP4, MOV, WMV, CPTX, CP, TXT, ZIP and MSG files |
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Declarations |
JPG, JPEG, PNG, GIF, XLS and XLSX files |
