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Regulatory Fundamentals for the Financial Services Sector

Learn about the regulations in financial services sector and the most commonly used financial products


European Institute of Management and Finance

Summary

Price
£275 inc VAT
Study method
Online, self-paced
Duration
15 Hours
Access to content
3 Months
Qualification
No formal qualification
Additional info
  • Certificate of completion available and is included in the price

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Overview

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. Keep in mind that 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 and will have an adverse impact on the economy.

Additionally, this loss of confidence and trust may lead to a reduction in employment opportunities available to local professionals. Often, both the collapse of large financial institutions and the difficulties faced by others have been highly detrimental to many developed economies. 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.

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Description

Learning Outcome

This self-paced online course will expand and sharpen your knowledge and understanding of the main regulations governing the financial sector. More specifically, it will provide an overview of:

  • Markets in Financial Instruments Directive and Regulation (MiFID II and MiFIR)
  • European Market Infrastructure Regulation (EMIR)
  • Anti-Money Laundering (AML)
  • Market Abuse Regulation (MAR)
  • Alternative Investment Fund Managers Directive (AIFMD)
  • Undertakings for Collective Investment in Transferable Securities Directive (UCITS)
  • Ethics and Compliance
  • General Data Protection Regulation (GDPR)

Learning Method

This training course is completed online at your own time and pace. The units consist of video-led and reading materials, as well as auto-marked assessments that aid the comprehension of the knowledge gained.

Accreditation and CPD Recognition

This programme has been developed by the European Institute of Management and Finance (EIMF), one of the most successful providers of finance and management learning solutions. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 15 CPD Units. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Certificate of Completion

Upon completion of all learning units and the auto-marked assessments, you will receive electronically a Certificate of Completion. A list of topics that were included in the course will be also sent, which can be submitted to your regulator, association or other bodies which you hold membership for CPD recognition, if needed.

Who is this course for?

  • Existing and prospective executives and supervisors of Banks, FCA - EU Regulated Investment Firms
  • Existing and prospective employees of IFs and banks responsible for the provision of investment services
  • Compliance Officers, Internal Auditors, Anti-Money Laundering Compliance Officers and Risk Managers of Investment Firms and banks

Requirements

None

Questions and answers

Currently there are no Q&As for this course. Be the first to ask a question.

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