Course overview

As capital markets become more complex and sophisticated, so do the regulations that govern them. To help financial industry professionals navigate this environment, FINRA and the ICMA Centre at Henley Business School, University of Reading, in association with BME Consulting, and ICMA, have developed an intensive, three-day compliance and regulation programme.

The Programme in Compliance and Regulation is designed to:

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arm compliance and regulatory professionals with the knowledge to deal more effectively with complicated issues created by evolving capital market regulations;

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allow participants to discuss their differing approaches to similar compliance and regulatory challenges; and

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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 six half-day modules delivered over three 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.

The programme coursework provides participants with:

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in-depth knowledge on how to structure a compliance function and how to develop an effective compliance programme, including MiFID requirements;

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practical means of tackling compliance and regulatory matters relevant to both primary and secondary markets, including money laundering and market abuse offences; and

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case studies that offer practical means of approaching and dealing with complex compliance and regulatory matters.
 

Cost

The cost of the Programme in Compliance and Regulation is Euros 1,600.

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 course please contact:

Siobhan Weafer
education@icmagroup.org
+44 (0) 207 213 0326