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Insider Dealing Compliance Training - 5mins AI

Insider Dealing Compliance Training

Master market abuse prevention, inside information handling, and insider dealing regulations through expert-led lessons

20,000+ Expert-led lessons 200+ Professional skills 90%+ Completion rates 20+ Languages available

Introduction to Insider Dealing Compliance Training

Insider dealing represents one of the most serious forms of market abuse, carrying severe criminal and civil penalties for individuals and organizations. Our comprehensive Insider Dealing Compliance Training provides essential knowledge for identifying, preventing, and managing inside information risks across all business functions, ensuring compliance with market abuse regulations and maintaining market integrity.

This specialized training covers the legal framework surrounding insider dealing, practical guidance on information handling, and robust procedures for managing material non-public information. Participants learn to recognize inside information, understand trading restrictions, and implement effective compliance measures that protect both individual careers and organizational reputation.

Inside Information Recognition

Learn to identify material non-public information that could affect share prices and understand the precise legal definitions that trigger compliance obligations.

Trading Restriction Management

Master procedures for implementing and managing trading restrictions, close periods, and insider lists to prevent inadvertent market abuse.

Regulatory Compliance Framework

Understand market abuse regulations, reporting requirements, and enforcement actions to ensure comprehensive compliance programs.

Key Topics & Learning Objectives for Insider Dealing Training

Definition of Inside Information

Understand the legal criteria for inside information including specificity, materiality, and potential market impact across different financial instruments.

Prohibited Trading Activities

Learn about direct and indirect trading restrictions, including restrictions on family members and connected persons when in possession of inside information.

Information Barriers and Controls

Implement Chinese walls, need-to-know procedures, and other information barriers to prevent inappropriate sharing of sensitive information.

Insider List Management

Master procedures for maintaining, updating, and monitoring insider lists including notification requirements and record-keeping obligations.

Market Disclosure Obligations

Understand when and how to disclose inside information to the market, including timing requirements and disclosure platforms.

Surveillance and Monitoring

Develop systems for monitoring trading activity, detecting suspicious patterns, and investigating potential insider dealing violations.

Role-Based Best Practices for Insider Dealing Prevention

Compliance Officer Insider Dealing Oversight

  • Develop and maintain comprehensive insider dealing policies and procedures
  • Manage insider lists and ensure timely updates and notifications
  • Monitor trading activity and investigate suspicious transactions
  • Coordinate with legal and regulatory teams on disclosure decisions
  • Conduct regular training and awareness programs for all staff levels
  • Liaise with regulators and respond to investigations or inquiries

Senior Management Responsibilities

  • Establish tone at the top regarding market integrity and compliance
  • Approve insider dealing policies and allocate adequate resources
  • Oversee disclosure decisions and market communication strategies
  • Ensure adequate training and awareness across all business functions
  • Monitor compliance metrics and address deficiencies promptly
  • Report material compliance issues to board and regulators as required

Employee Compliance Obligations

  • Avoid trading when in possession of inside information
  • Report potential inside information to compliance teams immediately
  • Maintain confidentiality of sensitive business information
  • Comply with personal account dealing policies and pre-clearance requirements
  • Participate in mandatory training and maintain awareness of policies
  • Report suspected insider dealing or market abuse to appropriate channels
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Why teams love us

"Our previous compliance training was like 3+ hours...Now literally in 20 minutes you got everything you need and the knowledge you need to retain. Every single one who's seen it, especially people working in hospitality for 5+ years, were insanely happy and impressed."
Dimitar Dimitrov
Dimitar Dimitrov LinkedIn
Training Manager
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"5Mins.ai provides a readymade solution that allows me to provide tailored, up-to-date training to the entire firm while I build out our compliance function. It's scalable, efficient, and gives me reassurance."
Abdul Gofur
Abdul Gofur LinkedIn
Head of Compliance & Anti-Financial Crime
"The platform is incredibly user-friendly and the content is engaging. We saw an 84-85% activation rate in the first week, and it has made our onboarding process much slicker and easier."
Chantelle Hazell
Chantelle Hazell LinkedIn
HR Manager
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"5Mins.ai has transformed our compliance training. It's a much more efficient and user-friendly process, and we can now monitor progress and ensure information is retained."
Lucy Wyborn
Lucy Wyborn LinkedIn
Director of Learning and Development
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"5Mins.ai saved our employees two to three hours on compliance training, which is a huge amount for an 80-person company. The platform is user-friendly, and the ability to create and push out playlists is a game changer."
Sarah Richardson
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Talent Partner
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Thousands of Teams Trust 5Mins.ai with their Compliance

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Compliance Training Section
Compliance Training

Compliance training that your team won't dread

Compliance training and maintaining compliance is critical, but let's be honest, no one really likes doing it.

With 5Mins.ai you can:

  • Speed up training by 3 - 5x
  • Save your employees hours
  • Boost engagement by 6 - 10x
  • Gamify the full training experience
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Kill the admin headache

Save up to 20 hours EVERY MONTH on compliance training admin through 5Mins.ai's system.

Fully automate enrolment, reporting and reminders. Never have to chase your team to do their compliance training, or scramble through spreadsheets for completion reporting ever again.

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Insider Dealing Compliance Training - FAQ

Insider Dealing Compliance Training FAQs

What constitutes inside information under market abuse regulations?
Inside information is material non-public information that, if disclosed, would likely have a significant effect on the price of financial instruments. It must be specific, precise, and not generally available to the market. Examples include earnings forecasts, merger discussions, major contract wins/losses, and regulatory decisions affecting the company.
Can I trade in company shares if I work for the company?
Employees can generally trade in their company's shares when not in possession of inside information and outside of restricted periods. However, many companies have personal account dealing policies requiring pre-clearance of transactions, especially for senior employees or those with regular access to sensitive information.
What are the penalties for insider dealing violations?
Insider dealing is both a criminal and civil offense with severe penalties including unlimited fines, imprisonment (up to 7 years in some jurisdictions), director disqualifications, and civil penalties. Firms can face significant fines and reputational damage. The exact penalties vary by jurisdiction but are universally severe.
How should inside information be handled within an organization?
Inside information should be handled on a strict need-to-know basis with clear information barriers (Chinese walls) between different business areas. Maintain accurate insider lists, ensure appropriate confidentiality agreements, and consider whether the information needs to be disclosed to the market under regulatory requirements.
When must inside information be disclosed to the market?
Listed companies must generally disclose inside information as soon as possible unless legitimate grounds exist for delaying disclosure. Delayed disclosure must meet specific conditions and may require notification to regulators. The timing and manner of disclosure must comply with applicable listing rules and market abuse regulations.
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Prevent costly Insider Dealing issues and reclaim your team's time.

With 5Mins.ai, Insider Dealing Compliance Training rules become snack-sized videos employees watch.

  • Fully automated tracking eliminates manual follow-ups.
  • Live dashboards prove compliance in a single click.
  • Super-short 3–5-minute lessons keep learning efficient.

Ready to Excel in Insider Dealing Compliance?
Join thousands of organizations using 5Mins.ai to deliver engaging, effective insider dealing compliance training with industry-leading completion rates.
👥 50,000+ Learners • 🚀 98% Completion Rate
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