Certificate in Capital Markets Compliance Course Trailer — Financial Crime Academy

Certificate in Capital Markets Compliance (Course Trailer) — Financial Crime Academy

COURSE CURRICULUM

Introduction to the Program

Module 1: Markets Compliance Foundation
● Introduction to This Module
● What is Markets Compliance?
● Application Areas of Financial Markets Regulation
● Why is Markets Compliance Important?
● Fines for Violations of Financial Markets Regulation
● Module Summary
● Multiple Choice Quiz

Module 2: Overview of European Cornerstone Regulation
● Introduction to This Module
● Market Abuse Regulation (MAR) and Market Abuse Directive (MAD)
● Markets In Financial Instruments Directives (MiFID II)
● Markets In Financial Instruments Regulations (MiFIR)
● Module Summary
● Multiple Choice Quiz

Module 3: Overview of US Cornerstone Regulation
● Introduction to This Module
● Securities Act of 1933
● Securities Exchange Act of 1934
● Trust Indenture Act of 1939
● Investment Company Act of 1940
● Sarbanes-Oxley Act of 2002
● Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
● Module Summary
● Multiple Choice Quiz

Module 4: Markets Compliance Key Principles #1: Protecting the Integrity of Financial Markets
● Introduction to This Module
● Insider Trading
● Instruments for Overseeing Insider
● Market Manipulation
● Ad-hoc Publicity
● Insider Lists
● Short Trading Regulation
● Publication of Voting Rights
● Managers’ Transactions
● Notification Obligations
● Suspicious Activity Reports
● Conflicts of Interests
● Module Summary
● Multiple Choice Quiz

Module 5: Markets Compliance Key Principles #2: Protecting Consumers
● Introduction to This Module
● Qualification of Employees
● Sales Requirements
● Customer Classification, Product Governance, and Target Market
● Investment Advice
● Information Leaflets
● Documentation Requirements
● Incentives / Remuneration
● Inducements
● Churnin
● Complaints
● Module Summary
● Multiple Choice Quiz

Module 6: Markets Compliance Key Principles #3: Employee Dealings
● Introduction to This Module
● Relevant Staff and Personal Dealings
● Insider Lists
● Control Approaches
● Personal Conflicts of Interest
● Module Summary
● Multiple Choice Quiz

Module 7: Organizational Markets Compliance Concepts
● Introduction to This Module
● Markets Compliance Function
● Control Activities
● Risk Analysis
● Suspicious Activity Reports
● Module Summary
● Multiple Choice Quiz

Final Assessment

Completing the Program