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Level 6 Diploma in Accounting and Business

Trading Regulations and Market Integrity

AB603 · Financial Securities Markets — Week 11 of 16

CourseAB603
Week11 of 16
SemesterI
TutorOnline in the course chat

This week’s topics

Trading Regulations and Market Integrity

  1. Market Abuse Regulation provisions
  2. Insider dealing and market manipulation
  3. MiFID II transparency directives
  4. Best execution requirements
  5. Lawrence Glosten: Regulation of Informed Trading
  6. On Investigating Insider Trading

What you will be able to do

  • 1.3 Assess the impact of regulations and procedures used in trading securities.
  • 3.2 Explain the main features of legislation and regulation to control the financial services industry.

Activity

Start with this week’s 2 videos, then: Seminar, guided reading and a short written task: assess the impact of regulations and procedures used in trading securities.

Study materials

Videos

  • Lawrence Glosten: Regulation of Informed Trading · YouTube · Columbia Business School · 33 min · for registered students
  • On Investigating Insider Trading · YouTube · Columbia Business School · 15 min · for registered students
  • Session 23 (of 42): Information Trading - Following the Insiders · YouTube · Aswath Damodaran · 13 min · for registered students

Further resources

  • Market abuse (Financial Conduct Authority) · Reading · Other, guidance · for registered students
  • Financial Services and Markets Act 2000 · Reading · legislation.gov.uk, legislation · for registered students
  • Criminal Justice Act 1993, Part V: Insider dealing · Reading · legislation.gov.uk, legislation · for registered students
Materials marked “for registered students” open in the student portal, which is set up as soon as you receive final acceptance.
Week 10Week 12
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Admitted students ask questions on this week’s page in the student portal: an AI assistant trained on the course answers first, and during the course’s timetabled classes Connect to your tutor brings your tutor into the chat, who may start a call if needed.

Open this week in the portal
Course plan
  • Week 1: Equity and Debt Securities
  • Week 2: Derivatives and Hybrid Instruments
  • Week 3: Strategic Uses of Securities
  • Week 4: Foundations of Investment Theory
  • Week 5: Valuation of Financial Assets
  • Week 6: Market Analysis and Market Efficiency
  • Week 7: Securities Trading Procedures and Execution
  • Midterm: Midterm evaluation
  • Week 9: The Rationale for Financial Regulation
  • Week 10: Regulatory Architectures and Statutory Frameworks
  • Week 11: Trading Regulations and Market Integrity
  • Week 12: Applying Financial Securities Markets in practice: case stu…
  • Week 13: Assignment workshop: research, planning and referencing
  • Week 14: Assignment workshop: drafting, feedback and improvement
  • Week 15: Review and coursework completion
  • Final: Final assessment and submission
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