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Course Code: FNBN 1703
15 Course Visits
Financial Market Regulation
Course Sector:
Finance, Accounting and Banking
Course Dates and Locations
Choose a date and location to book your seat
No.
Date
Days
Location
Fees
Enrollment
01
5 Days
London, UK $5,950
02
5 Days
Online, Virtual $2,150
Introduction
Training course introducion / brief
The global financial landscape is continually evolving, and with it, the regulatory frameworks that govern market activities. Financial Market Regulation focuses on the laws, regulations, and guidelines designed to ensure that financial markets operate transparently, fairly, and efficiently. This course will equip participants with the knowledge to understand the key regulatory mechanisms that guide the operations of financial markets, including the legal frameworks, compliance requirements, and the role of regulatory bodies.
Course Objectives
At the end of the training course, participants will be able to
- Understand the fundamental principles of financial market regulation.
- Identify key regulatory bodies and their roles in financial markets.
- Evaluate the legal and regulatory mechanisms governing financial products and services.
- Analyze the impact of market regulations on global financial stability.
- Comprehend and apply global best practices in financial market regulation.
Course Audience
Who is this course for, and can benefit the most
coming soon
Course Outline
The course aims and learning outcomes
Session 1: Overview of Financial Markets
- Definition and purpose of financial markets
- Key types of financial markets: Capital markets, commodity markets, derivatives markets, etc.
- The role of financial markets in the global economy
- Why regulations are necessary: Protecting investors, ensuring transparency, preventing fraud
- History of financial regulation
- Key objectives of financial market regulation
- Globalization and its impact on regulations
- Emerging risks in financial markets (e.g., fintech, cryptocurrencies)
Key Regulatory Bodies and Legal Frameworks
Session 1: Global Regulatory Authorities- International regulatory bodies: IOSCO, FSB, BIS
- National regulatory bodies: SEC (USA), FCA (UK), CFTC (USA), ESMA (EU), etc.
- Their role in setting policies, monitoring market activities, and enforcing regulations
- Key financial regulations and acts: Dodd-Frank Act, MiFID II, Basel III, etc.
- The role of national and international regulators in implementing financial laws
- Market surveillance and enforcement measures
- Equities, debt, and derivatives markets
- Regulation of financial intermediaries: Investment banks, broker-dealers, etc.
Regulatory Strategies and Mechanisms
Session 1: Market Conduct and Transparency- Anti-money laundering (AML) and Know Your Customer (KYC) regulations
- Insider trading and market manipulation
- Reporting and disclosure requirements for financial institutions and market participants
- Importance of risk management in financial regulations
- Capital adequacy and liquidity requirements
- Stress testing and other regulatory tools
- Compliance programs for financial institutions
- Role of auditors and legal teams in maintaining compliance
- Regulatory technology (RegTech) in compliance management
Regulatory Challenges and Emerging Issues
Session 1: Financial Market Crises and Regulatory Responses- Analyzing past crises (2008 Global Financial Crisis, etc.)
- How regulatory bodies responded and their impact on financial markets
- Post-crisis regulatory reforms
- Cryptocurrency regulation (e.g., Bitcoin, Ethereum)
- Regulation of financial innovations: Blockchain, smart contracts, fintech
- The regulatory approach to digital assets and decentralized finance (DeFi)
- Trends in global regulatory changes
- Environmental, Social, and Governance (ESG) regulations in financial markets
- The role of technology in the evolution of financial regulation
Case Studies, Practical Applications, and Closing
Session 1: Case Studies in Financial Market Regulation- Examining successful regulatory frameworks in different countries
- Case studies of financial market fraud and their regulatory response
- Role of regulation in promoting financial inclusion and market integrity
- Simulation: Identifying regulatory issues in a hypothetical financial scenario
- Applying regulatory frameworks to real-life financial instruments and entities
- Review of key concepts and learning outcomes
- Open discussion and Q&A
- Next steps in advancing knowledge in financial market regulation
Providers and Associations
Providing the best training services and benefits to our valued clients
Boost certificate of completion
BOOST's Professional Attendance Certificate “BPAC” is always given to the delegates after completing the training course, and depends on their attendance of the program at a rate of no less than 80%, besides their active participation and engagement during the program sessions.
ENDORSED EDUCATION PROVIDER
Flexible deadlines
Customized dates accordance to your schedule
Shareable Certificate
Earn certificate upon completion
COURSE METHODOLOGY
Our Training programs are implemented by combining the participants' academic knowledge and practical practice (30% theoretical / 70% practical activities).
At The end of the training program, Participants are involved in practical workshop to show their skills in applying what they were trained for. A detailed report is submitted to each participant and the training department in the organization on the results of the participant's performance and the return on training. Our programs focus on exercises, case studies, and individual and group presentations.
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