Certified Adviser Training

- explore the required training sessions to become a Certified Adviser contact person.

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Introductory training for Certified Advisers

Course Language: Swedish

These sessions are aimed at employees at Certified Adviser-firms and is a requirement in order to become a Certified Adviser contact person. The session is also suitable for experienced Certified Advisers contact persons looking for a touch up on their knowledge.

All session at 13:15 - 16:30 CET

Dates Registration
May 23 listings@nasdaq.com
September 12 listings@nasdaq.com
November 21 listings@nasdaq.com

Mandatory Online Certified Adviser Training

The Certified Adviser function has been one of the success factors of First North Growth Market. It is a concept integral to the smooth running of the marketplace that we are eager to continue to develop and improve. 

For this reason we’ve launched a training in the form of an online module, which covers the basic responsibilities of the Certified Advisers and their designated contact persons as well as information about updates and changes to relevant regulations and processes. The purpose of the training is to align our views on the Certified Advisers’ responsibilities. The input that Certified Advisers provide to the surveillance team in relation to issuers is essential for market surveillance purposes and with this training, we are hoping to accomplish an even stronger culture of compliance among our Certified Advisers and listed companies. 

  1. The training takes approximately 1.5 hours to complete.
  2. At the end of each chapter there will be a test and the designated contact person must pass this test. If they do not pass the test they must retake the chapter.
  3. In most cases the tests allow for one wrong answer, but for some of the chapters a full score is required for passing.
  4. When the training is completed the designated contact person will be presented with a scenario for which they will have to outline an answer in approximately 500 words. This final essay question will not be graded but a representative from Issuer Surveillance will read the answers and reply with feedback. The answer must be emailed to the local issuer surveillance team.

The training is only available in English. Your local issuer surveillance team will email you instructions on how to register for the training when it opens. Note that the training can be exited at any point – the progress will be saved. 

What are the key topics covered in Certified Adviser training?

The role of the Certified Adviser

Covers the Certified Adviser’s responsibilities as well as Nasdaq’s expectations on their work

Listing requirements

Covers the formal requirements for listing on First North Growth Market, as provided in the First North Growth Market Rule book

Listing Process

Covers the various stages of the listing process and the responsibilities of the Certified Adviser at each stage

Ongoing listing requirements

A review of what the certified adviser needs to keep in mind while the company is listed

Disclosure obligations

Covers relevant provisions in the Market Abuse Regulation, the First North Growth Market Rule book and important aspects of company announcements

Interventions

Covers the basics of investigations, trading suspensions and observation status

FAQs

Regulatory compliance is the cornerstone of a reliable marketplace and the Certified Adviser function is fundamental in monitoring First North Growth Market issuers. In order to build even better competence among our Certified Advisers in this area and establish a more efficient collaboration between the Certified Advisers and Nasdaq, we are launching this training where we go through the most important aspects of the role and explain relevant rules and laws in more detail.
Yes, this is a mandatory training for everyone who work with issuers in a certified adviser capacity.
For the purposes of this training, the “Certified Adviser” is the company that provides the certified adviser services. The “designated contact person of the Certified Adviser” is every individual who provides certified adviser services to a First North Growth Market issuer, whether they currently have an issuer that they are advising or not.
Everyone who works or plan to work in the capacity of a designated contact person, in other words everyone who are licensed to advise a First North Growth Market company, must take the training.
The plan is to launch the training on an annual basis. We may however come to change the format over time.
The training takes approximately 1.5 hours to complete.
You do not have to complete the training in one go and if you exit the training your progress will be saved. You must however complete the training within the prescribed deadline.
Yes you do. This is a great opportunity for you to visit Nasdaq and meet some of the people with whom you will have regular contact in the future. In that session we also go through important local regulations and practices that are not currently presented in the training.
No. The training is currently only available in English.
You will receive an email from Nasdaq Academy where you will get instructions on how to access the training.

Useful information for Certified Advisers

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