Regulatory Environment - Part 17

Regulatory Environment - Part 17

Overview

This eCourse consists of three modules. Module 1 provides a high level overview of the US Commodity Futures Trading Commission (CFTC), which is an independent federal regulatory agency that is responsible for regulating the US commodity futures and options markets. This module also looks at CFTC’s structure, and the key laws it seeks to enforce.

Module 2 provides an overview of the history, structure, functions, and responsibilities of the Federal Reserve System and the tools it uses to pursue and achieve its objectives. The Federal Reserve System is the central banking system of the US. The Fed has a range of functions, including managing monetary policy, ensuring financial stability, supervising and regulating banks and other financial institutions, and overseeing and supporting the US payment system.

Module 3 provides a high level overview of the US Securities and Exchange Commission (SEC), its structure, and the key laws it seeks to enforce. SEC is an independent federal agency that is responsible for securities law and regulating the securities industry.

Objective

On completion of this course, you will be able to:
- Define the Commodity Futures Trading Commission (CFTC) and identify its key responsibilities
- List the divisions of the CFTC and their roles
- Name the key offices of the CFTC and define their functions
- Identify the key laws the CFTC seeks to enforce
- Recall the history and structure of the Federal Reserve System
- Identify Federal Reserve System’s key responsibilities
- Name the tools that the Federal Reserve System may use to achieve its goals
- Define the Securities and Exchange Commission (SEC) and identify its key responsibilities
- List the divisions of the SEC and their roles
- Name the key offices of the SEC and define their functions
- Identify the key securities laws the SEC seeks to enforce

Content

Module 1: Financial Authorities (US) - CFTC
Topic 1: CFTC Overview

Module 2: Financial Authorities (US) - Federal Reserve
Topic 1: Overview
Topic 2: Monetary Policy
Topic 3: Supervision & Regulation
Topic 4: Financial Stability
Topic 5: Payment & Settlement Systems
Topic 6: Consumer Protection & Community Development

Module 3: Financial Authorities (US) - SEC
Topic 1: SEC Overview

Details

Code
TERCR20012101
Venue
ePlatform
Language
English
Level
Introductory
Hours
SFC:1.50, PWMA:1.50
Fees
All Member: HK$405
Staff of Corporate Member: HK$405
Non-Member: HK$585