Overview

This eCourse consists of three modules. As financial markets continually develop, and the number of tradable instruments and asset classes grows, markets regulation becomes increasingly complex and broad in scope. Module 1 provides an overview of some of the key features of financial regulation, covering supervision, conduct regulation, the solutions and challenges technology brings, and other common challenges that regulation faces.

Module 2 provides an overview of the regulatory framework for banks, looking at some of the specific rules relating to capital adequacy, liquidity, and leverage, other regulatory tools such as stress tests, and key challenges that regulators face.

Module 3 introduces markets regulation, with a focus on the core objectives of transparency and investor protection and concrete measures designed to uphold those fulfil those objectives.

Objective

On completion of this course, you will be able to:
- Identify key features, influential acts, and important standards of financial regulation
- Recognize bodies responsible for – and initiatives aimed at enhancing – supervision
- Identify principles of conduct regulation and concrete measures used to enforce it
- Identify both some of the challenges and solutions that technology represents for regulators
- Recognize other key challenges faced by regulators
- Recognize the broad structure of the current global regulatory framework for banks
- Identify different types of banking supervision and the bodies responsible
- Identify Basel III rules and requirements on key areas such as capital adequacy, liquidity, leverage, and disclosure
- Identify influential frameworks, bodies, and core principles of markets regulation
- Recognize key regulatory initiatives in the service of market transparency and investor protection

Content

Module 1: Regulation – An Introduction
Topic 1: Key Features of Regulation
Topic 2: Supervision
Topic 3: Conduct Regulation
Topic 4: Technology
Topic 5: Other Challenges

Module 2: Banking Regulation – An Introduction
Topic 1: Regulatory Framework
Topic 2: Supervision
Topic 3: Capital Adequacy
Topic 4: Liquidity & Leverage
Topic 5: Other Tools & Requirements

Module 3: Markets Regulation – An Introduction
Topic 1: Markets Regulation Overview
Topic 2: Market Transparency
Topic 3: Investor Protection