Trade Surveillance & Rogue Trading
Duration15'
No. of mini-lessons4
ResourcesTakeaway Tasks
Duration 15'
No. of mini-lessons 4
Resources Takeaway Tasks
Course overview
We like to think that most people are honest. Unfortunately, there are some people that like to exploit the system for their own personal gains. These people are rogue traders. And although restrictions and internal controls can be put in place, they’re never 100% foolproof. A determined rogue trader can find a way around them.
In this day and age, trading is becoming more and more complex. So it’s important to monitor and identify any marketing abuse that could be taking place. And due to the recent increase in working remotely, having the ability to use surveillance to capture data from various sources and locations is incredibly important. This course will help your teams learn more about the growing threat of rogue trading and what they can do about it.
What's covered
What rogue trading is and why it’s a problem
How to identify potential rogue traders by tracking trading activities
Common effective controls to prevent rogue trading
Why your teams need this course
Rogue trading is a serious issue that can cost the business a lot of money. It’s best to nip it in the bud effectively to prevent it occurring by keeping an eye out for “red flags”, implementing controls that can be tested regularly, and creating a culture of honesty.
Accredited by CPD
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The CPD Certification Service is the world’s leading and largest independent accreditation organization for professional development courses across all industry sectors.
