Sanction Browser

Case Studies are the learning format developed and maintained by ENTRIMA. Situational Engagements are a subset thereof and concern realistic, non-routine scenarios that are encountered and have to be coped with. In other words, the Case Study concerns the pedagogical concept, while the Situational Engagement is the practical example being studied.

The Case Studies are designed for three professional perspectives that interact in the market in different ways:

• Insiders, including professionals working in trading operations or general management roles
• Deal-makers, such as traders and brokers
• Surveillants, who are responsible for market abuse prevention and detection

Each perspective explores situations from their own professional context.

Learners are presented with realistic situations and are asked to interpret what is happening, consider whether behaviour may raise concerns and explain their reasoning. Rather than selecting predefined answers, participants provide their own assessment and receive feedback grounded in market practice, best practices, and guidance by regulators.

The Case Studies focus on complex or ambiguous situations where behaviour may be interpreted differently depending on context, available information and timing. These scenarios often arise around professional actions and interactions such as social engagements, information flows, order handling, and transacting, where context, perception and judgement play an important role in assessing conduct.

Organisations can review aggregated learner responses through a Coordinator role. This allows for identifying knowledge gaps of lack of awareness at the level of an individual, and to identify differences in interpretation, recurring uncertainties and potential knowledge gaps within teams. As a result, organisations gain insight into awareness levels and can strengthen consistency in market conduct and decision-making.