Course Details
Preventing manipulation of derivatives markets, and spoofing behavior, in particular, is a priority for both the exchanges and regulatory authorities that supervise financial markets. This course takes guidance from recent cases to help learners understand the steps they can take to avoid activity that may constitute or appear to be spoofing behavior. It also provides guidance on what to consider when designing a supervision and compliance program which regulators may evaluate for training, prevention and management of market conduct at the firm level.
Course Pricing
Key Takeaways
Upon successful completion of the course, learners will have a better understanding of:
- U.S. and global regulations and exchange rules prohibiting spoofing.
- Common spoofing patterns.
- Legitimate order types.
- Standard practices for monitoring trading activity.
Course Details
This course:
- Defines spoofing.
- Differentiates spoofing from legitimate trading
- Draws from real cases to identify common types of spoofing
- Provides guidance on detecting spoofing activity.
- Lists compliance considerations for traders, supervisors and firms.
Interactive exercises test comprehension.
Who Should Take this Course?
This course is intended for professionals involved in electronic trading, including:
- Electronic traders who execute trades in the markets.
- Developers who design or maintain electronic trading systems.
- Compliance and monitoring personnel responsible for ensuring adherence to exchange rules.
To complete the course, learners must pass the final assessment with a score of 80% or higher. Upon successful completion, a training certificate will be available for download.
Course Pricing
