In addition to the Compliance Handbook, all Quantum Bay employees receive mandatory compliance training on their first day. The training covers market abuse and insider dealing, confidential information, conflicts of interest, data protection, antibribery and corruption policies.
Employee training is generally an on-going practice with mandatory annual refreshers applied, as well as when new compliance policies and processes are rolled out or when training gaps or common issues are identified.
Our employees are prohibited from dealing securities of any publicly traded company. Compliance with the Securities Dealing and Insider Dealing Policy is mandatory for all employees. Any breach will result in disciplinary action which may include the termination of their employment.