This course examines the major forms of financial market misconduct and the enforcement actions used to protect market integrity. It explores insider trading, manipulation schemes, pump-and-dump tactics, spoofing, fraudulent advisory practices, and ethical violations across global markets. Students analyze real case studies and regulatory responses to understand how misconduct is identified and penalized. Designed for finance professionals, compliance officers, and learners, the course reinforces the importance of ethics, transparency, and strong governance.
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Skills & learning objectives
There are 11 modules in this class
- Understanding the Importance of Ethical TradingUnlock this class to watch1m 18s
- Overview of Regulatory Bodies and Their RoleUnlock this class to watch3m 19s
- Consequences of Engaging in Unlawful PracticesUnlock this class to watch3m 17s
- Definition and Examples of Insider TradingUnlock this class to watch2m 29s
- Legal Framework and Regulations Governing Insider TradingUnlock this class to watch2m 52s
- Notable Real-World Cases of Insider TradingUnlock this class to watch6m 1s
- Understanding Market Manipulation and Its ImpactUnlock this class to watch2m 40s
- Case Studies of Market Manipulation IncidentsUnlock this class to watch6m 5s
- Explanation of Front Running and Its ImplicationsUnlock this class to watch3m 8s
- Identifying Front Running ActivitiesUnlock this class to watch2m 56s
- Real-Life Examples of Front Running in Financial MarketsUnlock this class to watch2m 21s
- Prevention and Conduct SafeguardsUnlock this class to watch1m 4s
- Definition of Pump & Dump SchemesUnlock this class to watch4m 3s
- Tactics Used in Pump and Dump SchemesUnlock this class to watch2m 56s
- Case Studies Illustrating Pump and Dump SchemesUnlock this class to watch2m 38s
- Red Flags and Investor ProtectionUnlock this class to watch1m
- Introduction to HFT and Algorithmic TradingUnlock this class to watch4m 9s
- Ethical Considerations and Potential RisksUnlock this class to watch2m 20s
- Instances of HFT Manipulation and Regulatory ResponsesUnlock this class to watch2m 32s
- Oversight Metrics and SafeguardsUnlock this class to watch46s
- Explanation of Spoofing and LayeringUnlock this class to watch1m 27s
- Detection Techniques for Spoofing and LayeringUnlock this class to watch2m 1s
- Real-World Examples of Spoofing and LayeringUnlock this class to watch2m 32s
- Quant Red Flags for Spoofing/LayeringUnlock this class to watch1m 9s
- Understanding Churning and Its SignificanceUnlock this class to watch2m 45s
- Notable Cases of Churning in Financial MarketsUnlock this class to watch1m 57s
- Churning Detection MetricsUnlock this class to watch58s
- Differentiating Between Pyramid and Ponzi SchemesUnlock this class to watch1m 31s
- Famous Cases of Pyramid and Ponzi SchemesUnlock this class to watch3m 15s
- Pyramid vs Ponzi — Diagnostic ChecklistUnlock this class to watch52s
- Importance of Compliance in Preventing Unlawful PracticesUnlock this class to watch52s
- Regulatory Measures to Combat Unlawful ActivitiesUnlock this class to watch1m 7s
- Compliance Best Practices and GuidelinesUnlock this class to watch1m 4s
- ClosingUnlock this class to watch1m 6s
This class is part of the following certifications
Certified Portfolio & Fund Manager (CPFM)
63 ClassesUnlimited interactive exercises
Unlock Certificate
Certificate in AI-Powered Financial Analysis (CAFA)
56 ClassesUnlimited interactive exercises
Unlock Certificate
ClassFAQs
The course aims to help learners understand unlawful market practices—such as insider trading, manipulation, spoofing, and Ponzi schemes—using real case studies to show how misconduct harms market integrity and investor confidence.
The course is designed for finance professionals, traders, compliance officers, and risk managers who must detect, prevent, and respond to unethical and unlawful market activities.
These modules define insider trading and manipulation tactics such as wash trading and rumor-mongering, explain legal frameworks like Rule 10b-5, and analyze landmark enforcement cases.
The course examines spoofing, layering, and unethical high-frequency trading behaviors, focusing on detection methods, systemic risks, and regulatory responses to automated trading abuses.
Learners will develop the ability to evaluate regulatory measures, apply surveillance techniques, implement internal controls, and design best-practice compliance policies to prevent misconduct.
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