United States
SEC, CFTC, FinCEN
Exchange Act, Rule 10b-5
Alert.
From alert to filing.
From alert to filing.
A practitioner's course in trade surveillance, written to primary-source standard across six jurisdictions: the United States, the United Kingdom, Switzerland, Singapore, Hong Kong and Australia.
Thirteen modules. Fifty-four hours. US$299, one-time.
Chapter one
The alert
A volume spike three times average daily volume. A price that moved before the announcement, not after. An account that had never traded the name until the week it mattered.
Three numbers that look wrong. The rest of the course is learning what to do with them.
Every investigation starts with a number that looks wrong. The course begins where the analyst does, at the queue with a hypothesis and nothing else, and follows the file through to closure or a filing.
Chapter two
The rules
Six regimes, read in the original. The Securities Exchange Act and Rule 10b-5. UK MAR and the FCA Handbook. FMIA. The SFA. The SFO. The Corporations Act. Each one taught from the statute and the enforcement record, not from a summary, and each to the same depth.
| Jurisdiction | Regulator | Insider dealing prohibition |
|---|---|---|
| United States | SEC and CFTC | Exchange Act Section 10(b), Rule 10b-5 |
| United Kingdom | FCA | UK MAR Article 14 |
| Switzerland | FINMA | FMIA Article 154 |
| Singapore | MAS | SFA Section 219 |
| Hong Kong | SFC | SFO Section 270 |
| Australia | ASIC | Corporations Act Section 1043A |
Chapter three
The investigation
An alert is a series of open questions, not a finding. The course walks the seven stages the answer passes through: receipt and first assessment, triage, trade reconstruction, connected-parties analysis, the analytical conclusion, the filing decision, and the closure note that has to survive a regulator's read.
It teaches the counterfactual as the hinge of the whole exercise: would this trading look unusual if the inside information did not exist?
Chapter four
The record
Each module closes with a thirty-five item knowledge assessment. The pass bar is seventy-five per cent. Module ten is a stage-gated capstone investigation that has to be completed in order.
- 35
- items per module
- 75
- per cent pass bar
- 13
- modules
On completion you hold a certificate of completion with a serial anyone can check at learn.irontide.academy/verify.
Chapter five
What you'll learn
Four threads run through all thirteen modules. Every concept is paired with the operative regulatory provisions and a worked enforcement example.
-
Market integrity and the rules
Why markets need integrity, how venues and order books form a price, and the market-abuse regimes of all six jurisdictions set side by side.
-
Manipulation and insider typologies
Spoofing, layering, wash trading, front running, marking the close, ramp-and-dump, benchmark rigging, and the mechanics of inside information.
-
Systems, calibration and investigation
The five-layer surveillance pipeline, how alerts are designed and parameters calibrated, and the seven-stage investigation lifecycle through to filing.
-
Six-jurisdiction depth
How the same conduct is governed under the US, UK, Swiss, Singapore, Hong Kong and Australian regimes, plus digital assets and communications surveillance.
Who this is for
For working compliance professionals, from analysts levelling up to teams standardising how they train.
-
Surveillance analysts
Stop pattern-matching alerts. Understand the conduct and the law behind them, and finish with a certificate of completion for your CV.
The primary audience.
-
Compliance officers
A rigorous, jurisdiction-aware grounding in market conduct and the surveillance obligations that follow from it.
-
Investigators
Trade reconstruction, connected-parties analysis, materiality, and the discipline of a closure rationale that holds up.
-
Governance and risk
How surveillance sits within the three lines of defence, the accountability regimes, and programme assurance.
Chapter six
Thirteen modules, sequenced.
Eleven core modules and two electives, around 54 hours; all thirteen count toward the certificate.
| Module | Title | Outline | Hrs | Type |
|---|---|---|---|---|
| 01 | Foundations of Market Integrity | Pillars of fair markets; venues, order books, price formation | 3.0 | CORE |
| 02 | The Global Regulatory Framework | IOSCO; six market-abuse regimes, one comparative frame | 4.0 | CORE |
| 03 | Inside Information | Insiders, tipping chains, pre-announcement investigation | 4.0 | CORE |
| 04A | Market Manipulation: Foundational | Wash trading, front running, marking the close, spoofing | 3.5 | CORE |
| 04B | Market Manipulation: Advanced | Ramp-and-dump, benchmark rigging, momentum ignition | 4.0 | CORE |
| 05 | Surveillance Systems and Technology | Five-layer pipeline, alert design, audit infrastructure | 4.0 | CORE |
| 06 | Investigation Workflows | Triage, reconstruction, filing decision, closure | 5.0 | CORE |
| 07 | Calibration and Parameter Setting | Parameters, ATL/BTL testing, data integrity | 4.5 | CORE |
| 08 | Governance, Culture and Compliance | Programme design, three lines, accountability | 3.5 | CORE |
| 09 | AI and the Future of Surveillance | NLP, graph analytics, the human-AI boundary | 4.5 | CORE |
| 10 | Capstone: Comprehensive Case Study | End-to-end investigation, alert to regulator | 3.0 | CORE |
| E1 | Digital Assets and Crypto Surveillance | Asset taxonomy, crypto typologies, on-chain analytics | 5.5 | ELECTIVE |
| E2 | Communications Surveillance | Voice, e-comms, trade-comms correlation | 5.5 | ELECTIVE |
Every module closes with a 35-item knowledge assessment~54 hrs total
Chapter seven
Six regimes, to equal depth.
Every regime gets its own statute, its own regulator and its own filing route.
United Kingdom
FCA
UK MAR, FCA Handbook
Switzerland
FINMA
FMIA
Singapore
MAS
SFA
Hong Kong
SFC
SFO
Australia
ASIC
Corporations Act, ASIC Market Integrity Rules
Six regimes. Each taught from its own statute.
Chapter eight
Built for the people who do the work.
-
Built by practitioners
Written by working trade surveillance professionals, for the analysts, investigators and compliance teams who run alerts, investigations and filings every day.
-
The whole workflow
Order-book mechanics, alert triage, trade reconstruction, the filing decision and case closure. The full job, not fragments of it.
-
Vendor-neutral and multi-jurisdiction
Six jurisdictions covered to the same depth, teaching you the discipline itself. Vendor-neutral, ensuring that the knowledge transfers regardless of your platform.
Judge the standard first.
Three complete articles by the people who wrote the course, beside the six regimes the course covers.
Chapter nine
Enrol
Thirteen modules, around 54 hours, self-paced. Built by working trade surveillance professionals to primary-source standard: statutes, orders and final notices, not second-hand summaries. Create an account on the course site, confirm your email, pay once, and start Module 01.
Order ticket
| Instrument | Trade Surveillance Professional Course |
|---|---|
| Includes | 13 modules, assessments, capstone, certificate |
| Total | US$299.00 |
- Secure card checkout via Stripe
- One-time payment
- Taxes calculated at checkout
On completion: a serialised certificate of completion, IRT-XXXX-XXXX-XXXX, with a public verification page any employer can check in seconds.
Chapter ten
Not ready to enrol yet?
Leave your email and we'll send an occasional note when new modules, articles, or enforcement developments land.
The brief
This course: thirteen modules, eleven core and two electives, about fifty-four hours, self-paced. Six jurisdictions covered to equal depth. Built by working trade surveillance professionals.
US$299, paid once. No subscription.
Irontide, trade surveillance education.