Trade Surveillance & Rogue Trading


No. of mini-lessons4

ResourcesTakeaway Tasks

Duration 15'

No. of mini-lessons 4

Resources Takeaway Tasks

Course overview

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 your teams learn more about the growing threat of rogue trading and what they can do about it.

What's covered

What rogue trading is and why it’s a problem

How to identify potential rogue traders by tracking trading activities

Common effective controls to prevent rogue trading

Why your teams need this course

Rogue trading is a serious issue that can cost the business 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.

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