Financial Services - Basics of Regulation & Compliance

Course Overview

• Course Title: Financial Services - Basics of Regulation & Compliance
• Instructor: Baba Oyewole FCCA
• Target Audience:
  • 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
• Prerequisites:
  • Basic understanding of financial systems or services
  • Interest in financial services sector, financial regulation and ethics
  • Ability to read and interpret financial news and documents
  • Familiarity and Interest with current events in finance
  • Interest in financial news and documents
  • Willingness to learning
  • Access and knowledge of basic computer usage

Curriculum Highlights

• Key Topics Covered:
  • Purpose of financial regulation
  • Role of global regulatory bodies
  • Key legislation and their impact
  • AML, KYC and CTF principles
  • Importance of customer due diligence
  • Regulatory Environment
  • Ethics and Compliance Culture
  • Risk management strategies
  • Use of RegTech in compliance
  • Ethical leadership and culture
  • Data protection in financial services
  • Consequences of non-compliance
• Key Skills Learned:
  • Understanding regulatory bodies
  • Key legislation
  • Risk management practices
  • Anti-money laundering practices
  • Market abuse regulations
  • Internal controls
  • Reserves ratio requirements
  • Data protection laws like GDPR
  • Role of RegTech in compliance tasks
  • Cultural and ethical aspects of compliance

Course Format

• Duration: 1.5 hours on-demand video
• Format: Self-paced online course
• Resources:
  • Access on mobile and TV
  • Certificate of completion