Customized Compliance Training
ComplianceAsia conducts training sessions on particular aspects of the compliance regime in place in individual organisations. Such courses are prepared to each organisation’s specific compliance manual and/or policy and procedures.
ComplianceAsia works with the organisation’s own compliance department to identify those areas where there is concern about the competence or understanding of employees and
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target the training to those topics. Past sessions have covered:
- Procedures for Chinese Wall Crossings
- Restricted List Procedures
- Personal Share Dealing Rules
- Research Rules
- Know Your Client Procedures
- Account Opening Procedures
- Market Manipulation
- Insider Dealing
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