Financial Compliance

Trade Surveillance & Rogue Trading (FC009)

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 you learn more about the growing threat of rogue trading and what you can do about it.

By the end of this course, you’ll be able to:

• Recognize what rogue trading is and why it’s a problem
• Identify potential rogue traders by tracking trading activities
• Explain common effective controls in place to prevent rogue trading

Why take this course?

Rogue trading is a serious issue that can cost the business you work for 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. If you’re an employee who is involved in finance in any way inside the company you work for, this is the course for you.

15 mins | SCORM | Takeaway Tasks

  • Trade Surveillance & Rogue Trading
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: 3 years