Financial Services - Basics of Regulation & Compliance

Financial Services - Basics of Regulation & Compliance is a comprehensive introduction to the ever more important Regulatory/Compliance aspects of Financial Services.

In the financial services landscape, regulation and compliance are more critical than ever.

This course, "Financial Services – Basics of Regulation & Compliance" course is designed to provide professionals, students, and financial enthusiasts with comprehensive understanding of the rules, frameworks, and ethical principles governing global financial systems.

This course demystifies the complexities of compliance, offering insights into regulatory bodies, key legislation, risk management practices, and cutting-edge technology shaping compliance functions.

Through practical case studies, real-world examples, and a globally informed curriculum, learners will explore anti-money laundering practices, market abuse regulations, risk management, internal controls, reserves ratio requirements, data protection laws like GDPR, and the role of RegTech in compliance tasks.

Learners will also delve into the cultural and ethical aspects of compliance, understanding how a strong compliance culture can protect firms from financial and reputational harm.

Whether you're new to the industry or looking to deepen your knowledge, this course equips you with essential tools to navigate financial services with confidence and integrity.

This course is recommended for everyone working (or interested) in the financial services sector, including: Compliance Officers, Risk Managers, Investment Bankers, Financial Analysts, Internal Auditors, Legal Advisors, Accountants, Finance Students, Operations Managers, Entrepreneurs, Insurance Professionals, AML Analysts, KYC Specialists, Treasury Professionals, Fund Managers, Regulatory Consultants, Financial Advisors, Ethics Officers, Project Managers in Finance, FinTech Professionals and many more.

I know this course will be an asset to you, your profession and organization.

best regards,

Baba Oyewole FCCA