Market Abuse, Money Laundering and Economic Crime
Recognise, prevent, report and escalate market misconduct and wider financial crime.
How to prepare for the Investment Advice Diploma
Build UK regulation, integrity, investment, risk and tax first; then apply those foundations to the one technical option aligned with your role. The original multiple-choice practice tests knowledge, calculations and advisory judgement without reproducing recalled or secure CISI questions.
Core concepts
Concept 1
Distinguish insider dealing, unlawful disclosure, manipulation and related market-abuse controls.
Exam cue: Identify the conduct and information.
Concept 2
Apply customer due diligence, monitoring, reporting and tipping-off restrictions.
Exam cue: Locate the prevention or reporting duty.
Concept 3
Recognise terrorist financing, bribery, fraud, corporate economic-crime duties and whistleblowing protections.
Exam cue: Escalate without alerting the subject.
Risk pitfalls and guardrails
Assuming laundering requires profitable crime.
Guardrail: Do not combine the five displayed units into one exam, infer permission from qualification, use stale annual figures or ignore the selected technical route.
Confusing a suspicious-activity report with a customer accusation.
Guardrail: Do not combine the five displayed units into one exam, infer permission from qualification, use stale annual figures or ignore the selected technical route.
Treating all poor trading decisions as market abuse.
Guardrail: Do not combine the five displayed units into one exam, infer permission from qualification, use stale annual figures or ignore the selected technical route.
Memory anchors
Inside information
Precise, non-public information likely to have a significant price effect if made public.
Money laundering
Handling or disguising criminal property through placement, layering, integration or related conduct.
Tipping off
Improperly revealing information that could prejudice a money-laundering investigation.
Checkpoint rule
Do the check-up only after you can summarize each concept in one sentence and identify one dangerous pitfall from memory.
Knowledge Check (after reading)
Short check-up to confirm understanding of this module.
Check-up Questions
What makes information inside information for market-abuse purposes?
An employee trades after learning confidentially of an imminent takeover. What is the principal risk?
Answer all questions to submit.
Next step personalized recommendations
Continue learning
Move forward only after this module is stable.
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