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Home / Solutions / Compliance Solutions. / Capital market compliance.

Capital market compliance.

Insider trading and market manipulation can do untold damage to companies, and the consequences for those engaging in them can be severe. If your employees are to recognise the warning signs, however, they need clear and up-to-date training. Our Capital Market Compliance learning programme gives a thorough overview of the law and how it relates to your employees’ day-to-day activity, deploying learning science to drive behavioural change.

Stay up to date and risk free.

Change-making content.

Our programmes are designed to drive behavioural change – not just impart academic knowledge.

Customised to your needs.

Build a tailored programme through our Mix & Match modules and target specific knowledge gaps - or go fully bespoke.

Easy, fast deployment.

Seamless deployment through your existing LMS, or delivered with Sponge’s dedicated LMS solution.

In your language.

With ready-made options in English, German and French, and the capability to serve a wide range of other languages.

What our ready-made
programme offers.

Every organisation has different gaps in understanding to fill. Our Mix & Match system lets you choose only the modules your employees need, and includes a range of lesson types from text and images to video, animations and simulations.

Learning managers can select from a range of lessons on insider trading, market manipulation and investor protection. Modules include: 

  • Welcome. 
  • Insider Trading: Overview. 
  • Insider Law: Recognise insider information. 
  • Insider Law: Dealing with insider information. 
  • Insider Trading: Measures to prevent insider trading. 
  • Insider Trading: Consequences of violations. 
  • Insider Law: Practical case – change in the board of directors. 
  • Market Manipulation: Overview. 
  • Market Manipulation: Prohibited acts of deception. 
  • Market Manipulation: Measures taken to prevent market manipulation. 
  • Market Manipulation: Consequences of violations. 
  • Investor Protection: Basics of investor protection. 
  • Investor Protection: Customer categories (customer advice). 
  • Investor Protection: Three types of business (customer advice). 
  • Assessment.

Dipl.-Kfm. Daniel Wildhirt is a partner at PricewaterhouseCoopers WPG (PwC) in compliance. He has advised banks on regulatory innovations and implementation, and is co-author of the reference book Trends in Private Banking.

Major corporations using our capital market compliance programmes include ADG, DZ BANK, HSH Nordbank, ING-DiBa, MLP, NordLB, OLB, TargoBank and WestLB.

Looking to create something special?

Sponge is industry-famous for cutting edge bespoke solutions. Clients come to us to set new standards for what an online compliance learning experience can be. When the topic is dry, the experience is everything.

Cutting-edge,
tailored solutions.

Our range of services responds to your specific learning needs – whatever form they take.

Consultancy.

Curious about how employees are learning? Want to know what gaps need filling? Our consultants can offer expert help.

Bespoke.

Our award-winning bespoke solutions can make compliance a stimulating learning experience – not just a practical necessity.

Mix & Match Solutions.

Create a flexible, distinctive programme for your employees by picking and choosing from a range of different modules.

Find your solution

Find your ideal Capital Market Compliance learning solution.

Capital Market Compliance from ready-to-go,
to cutting edge and bespoke.

With Sponge you can choose from a range of bespoke, tailorable, or off-the-shelf solutions, and full deployment on an LMS if you need it.

Start with core content, and customise it to meet your specifications.

  • Mix and match content modules.
  • Customise to your brand style.
  • Select sector-specific content.
  • Translate into many languages.

Explore our tailorable digital compliance training.

Some bespoke learning methods we work with:

  • Role-play through game-based learning.
  • Augmented reality.
  • Blended learning.
  • Video.
  • Micro-learning.
  • Competitive learning.
  • Simulations.
  • Quiz-based learning.

Explore Bespoke Digital Learning with Sponge

Enhance your learning.

Sponge also provides optional content delivery and reporting systems to help you take control of your organisation’s learning.

Sponge LMS.

Our user-friendly Learning Management System makes it straightforward to manage compliance training and track users’ progress.

 

Explore other compliance topics.

Anti-bribery and corruption prevention.

Ensure honest, transparent business relationships with training in corruption risk.
Learn more

Anti-fraud.

Make fraud prevention part of your daily activity and learn when and how to take action.
Learn more

Capital market compliance.

Get ahead on legal training obligations, insider trading, market manipulation, and more.
Learn more

Competition and antitrust.

Partnership – or cartel? Your employees need to know their responsibilities under competition law.
Learn more

Compliance fundamentals.

Clarify the importance of compliance in your organisation and activate your guidelines.
Learn more

Data protection & GDPR.

Secure the trust of customers, partners, and employees through clarity of data privacy.
Learn more

Equal opportunities.

Experience lifelike, practical training on the fair treatment of employees in the workplace. 
Learn more

Export control.

Get clarity around export laws and regulations, preventing violations and penalties.
Learn more

Fair supply chains.

Learn to pinpoint breaches of ethics and law in supply chain working conditions.
Learn more

Health and safety.

Health and safety requirements affect every organisation and never stop evolving. Find out how to inform your people.
Learn more

Information security.

Handle passwords, devices and documents, and spot risk to protect sensitive information.
Learn more

Prevention of money laundering.

Develop awareness of hazards and transform working habits to protect your organisation.
Learn more

Whistleblowing.

Develop an unshakeable culture of listening, speaking up, and taking action on wrongdoing.
Learn more
 

Want to know more about Capital Market Compliance?

We’d love to hear from you with any questions about our unforgettable learning programmes.

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