MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Shadow Trading: Recognizing the Risk,” to its Firm Element e-learning catalog.
Shadow trading extends insider-trading risk beyond the company directly tied to material nonpublic information (MNPI). Learners examine how confidential information may become relevant to other economically connected companies, including competitors, suppliers, customers, and comparable firms. Course takers review practical warning signs, firm controls, and the appropriate response when a potential cross-company MNPI concern arises. That response includes stopping, protecting confidential information, and escalating according to firm procedures.
This course focuses on three core topics: 1) The Connection to Insider-Trading Law, 2) One Company’s News, Another Company’s Trade and 3) Recognizing the Connection.
Course Topics Include:
- Shadow Trading
- Material Non-Public Information (MNPI)
- Insider Trading
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisers, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
