 |
|
|
|
|
Course overview
|
|
|
|
|
The 2007 implementation of the Markets in Financial Instruments Directive (MiFID) has made a significant impact on the regulatory framework of capital markets, particularly within the E.U. To help financial industry professionals address resulting compliance and regulatory issues effectively, the Financial Industry Regulatory Authority (FINRA), in association with the ICMA in Zurich, have developed an intensive, two-day compliance and regulation programme for financial institutions and organisations in the capital markets.
The Programme in Compliance and Regulation is designed to:
|
|
|
|
|
|
|
•
|
arm compliance and regulatory professionals with the knowledge to deal more effectively with complicated issues created by evolving capital market regulations;
|
|
|
|
|
|
|
•
|
allow participants to discuss their differing approaches to similar compliance and regulatory challenges; and
|
|
|
|
|
|
|
•
|
provide practical, applicable compliance knowledge from expert practitioners, including the tools and mechanisms that can be applied to address compliance concerns.
|
|
|
|
|
|
|
|
Target Audience
|
|
|
|
|
This programme is ideal for capital markets professionals who seek to deepen their understanding of today's multifaceted regulatory and compliance structures and issues, including legal, audit, risk and operations professionals, as well as senior managers with supervisory responsibilities over trading/dealing desks and other departments.
|
|
|
|
|
|
|
Course Content and Format
|
|
|
|
|
Through four half-day modules delivered over two days, the Programme in Compliance and Regulation provides a comprehensive overview of key approaches and trends in regulation and compliance, and uses a variety of teaching methods – including lectures, illustrative examples, case studies and participant interaction – to help attendees grasp complex compliance and supervisory issues. Capital market professionals, as well as industry experts, teach the programme in English.
|
|
|
|
|
|
|
The programme coursework provides participants with:
|
|
|
|
|
|
|
•
|
in-depth knowledge on how to structure a compliance function and how to develop an effective compliance programme, including MiFID requirements;
|
|
|
|
|
|
|
•
|
practical means of tackling compliance and regulatory matters relevant to both primary and secondary markets, including money laundering and market abuse offences; and
|
|
|
|
|
|
|
•
|
case studies that offer practical means of approaching and dealing with complex compliance and regulatory matters.
|
|
|
|
|
|
|
Details of the next seminar
|
|
|
|
|
Details of the next seminar will be available here shortly.
|
|
|
|
|
|
|
|
Cost
|
|
|
|
|
The cost of the Programme in Compliance and Regulation will be CHF 2,750.00 for ICMA Members and CHF 3,500.00 for non-members.
Note that for anyone requiring accommodation to take this course, they will be required to arrange this on their own; it is a class-based but non-residential programme.
Should you have any queries about the seminar or wish to register please contact:
Mike Kirkman
mike.kirkman@icmagroup.org
+44 (0)20 7510 2744
Myles Allison
international@finra.org
+44 (0)20 7194 8460
|
|
|
|
|