Capital and financial markets play a crucial role in the development and stability of economies worldwide. They drive economic growth, facilitate wealth creation, and contribute to long-term prosperity. Confidence and trust in these markets are fundamental for their effective functioning.
However, a sudden loss of trust can lead to significant repercussions, including the collapse of financial institutions, economic downturns, and adverse societal impacts such as reduced employment opportunities and financial insecurity. These outcomes often necessitate costly bank and government bailouts, cuts in public spending, and increased taxation, affecting millions globally.
This course offers a comprehensive review of the major regulations, directives, and compliance regimes essential for maintaining trust and integrity in financial markets. It equips professionals with the knowledge needed to navigate the complex regulatory landscape and ensure their organizations operate responsibly and ethically.
Course Content
- Comprehensive Review of Major Regulations
Gain an in-depth understanding of the key regulations shaping financial markets. - MiFID II (Markets in Financial Instruments Directive II)
Learn about the provisions aimed at increasing transparency and protecting investors. - EMIR (European Market Infrastructure Regulation)
Understand the rules governing over-the-counter derivatives, central counterparties, and trade repositories. - Anti-Money Laundering (AML)
Explore the requirements for combating financial crime and maintaining robust AML frameworks. - Market Abuse Regulations
Learn how to identify and prevent insider trading, market manipulation, and other abusive practices. - Ethics and Compliance
Discover the importance of ethical behavior and compliance in fostering trust and integrity in financial services. - Data Protection and GDPR
Understand the General Data Protection Regulation (GDPR) and its implications for data handling in financial organizations.
Training Duration
This course is designed to be completed in approximately five (5) hours. However, learners may take more or less time depending on their individual pace and familiarity with the material.
Who Should Enroll?
This course is ideal for:
- Professionals seeking an introduction to the main regulatory provisions in financial services.
- Individuals pursuing CPDs in financial regulation and compliance.
- Compliance officers, risk managers, and legal advisors in banks, investment firms, and other financial institutions.
Training Method
The course is delivered online using a self-paced format, allowing learners to:
- Start, stop, and resume their training at their convenience.
- Access video presentations and detailed reading materials.
- Complete a final quiz to earn a Certificate of Completion.
Accreditation and CPD Recognition
This program is developed by the Association of Governance, Risk and Compliance (AGRC), a globally recognized GRC certification body.
- Accredited for five (5) CPD units approved for financial regulation education.
- Recognized by institutions such as CISI and ACAMS for CPD units related to compliance and financial training.
Eligibility for CPD units is subject to verification by the learner’s association, regulator, or membership body.
Registration and Access
Register easily by:
- Clicking the “Register” button above to pay online and receive instant access.
- For group purchases, creating or using individual profiles before finalizing payment.
Access Details:
- Course access is valid for 365 days.
- For corporate group rates or invoice-based payments, contact us at info@comply.academy.
Corporate and Group Training
Looking to train your team? Contact us at info@comply.academy to discuss tailored corporate packages and group discounts.
Take the Next Step
Equip yourself with the knowledge to navigate financial regulation and compliance in today’s complex capital markets. Enroll today to advance your career and contribute to the integrity and stability of the financial services sector.
