Fundamentals of the Regulatory Framework for the Financial Services Sector




Fundamentals of the Regulatory Framework for the Financial Services Sector

Effective capital and financial markets are an essential component of both developed and developing economies. They fuel economic development and help with the creation of wealth.

As a result, confidence and trust in these markets is vital to these economies’ long-term success and stability. A sudden loss of confidence and trust can lead to the failure of the financial companies involved, which may have an adverse impact on the economy such as a reduction in employment opportunities available to local professionals. Subsequent bank and government bailouts, as well as the impact caused by cuts in government spending and tax hikes, have affected millions of people across the world.

Course Content

  • Comprehensive review of the major regulations, directives, and regimes to be dealt with by financial firms.
  • MiFID II
  • EMIR
  • Anti-money laundering
  • Market abuse
  • Ethics and compliance
  • Data protection and GDPR

Training Duration

This course may take up to five (5) hours to complete. Keep in mind, however, that actual study time varies based on each learner’s training pace.



Who Should Enrol?

This course is ideal for anyone wishing to be introduced to the main regulatory provisions in financial services. It is also suitable for professionals pursuing regulatory CPDs in financial regulation.

Training Method

The course is offered online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop, and resume their training at any time.

At the end of the training, participants take a quiz to complete their learning and earn a Certificate of Completion.

Accreditation and CPD Recognition

This programme has been developed by the Association of Governance, Risk & Compliance (AGRC), a globally recognised GRC certification organization and network.

The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for five (5) CPD units that approve education in financial regulation. The course may be also approved for CPD units by institutions that approve general financial training such as CISI and ACAMS.

Eligibility criteria and CPD units are verified directly by your association, regulator, or other any other body for which you hold membership.

Registration and Access

To register for this course, click on the button above to pay online and receive instant access. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.

Access to the course is valid for 90 days.

If you wish to receive an invoice instead of paying online, please email us here. Also, please get in touch if you’d like to discuss special corporate group rates.