Establishment
Language of instruction
English
Teaching content
FINANCE
This course occurs in the following program(s)
IESEG Degree - Programme Grande École
- Crédits ECTS: 2.00
Training officer(s)
R.JOLIET
Stakeholder(s)
Mathieu DI PRIZIO
Présentation
Prerequisite
The student must:
Have a basic knowledge of financial industry (Investement Banking, Asset Management, Brokerage…)
Have a basic knowledge of products and business lines (Capital Market, Corporate Banking, Structured Finance, OTC Market…
Have a basic knowledge of financial company organization (FO / MO / BO and Support Teams : Legal, Compliance…
Have a basic knowledge of financial industry (Investement Banking, Asset Management, Brokerage…)
Have a basic knowledge of products and business lines (Capital Market, Corporate Banking, Structured Finance, OTC Market…
Have a basic knowledge of financial company organization (FO / MO / BO and Support Teams : Legal, Compliance…
Goal
Know financial regulatory framework: Regulated entities, Regulators (prudential, market), Market Infrastructure
Know key regulations currently in force: Market Abuse, AML, Tax Rules (FATCA, CRS), Volker rule, Derivatives Regulations (EMIR, DFA…)…
Know organizational impact of aforementioned rules on financial companies : the role of compliance, the impact on Front Office customer interaction…
Work in the financial industry under the current "regulatory heavy" environnement
Know key regulations currently in force: Market Abuse, AML, Tax Rules (FATCA, CRS), Volker rule, Derivatives Regulations (EMIR, DFA…)…
Know organizational impact of aforementioned rules on financial companies : the role of compliance, the impact on Front Office customer interaction…
Work in the financial industry under the current "regulatory heavy" environnement
Presentation
Chapter 1 : Financial Regulatory Framework
1 - Regulated Entities
2 - Market and Prudential Regulation
3 - Financial Market Infrastructure
Chapter 2 : Financial Criminality
1 - Market Abuse
2 - Money Laundering / Terrorism financing
Chapter 3 : Client interaction (MiFiD, FATCA, CRS, LAB)
Client knowledge : KYC, KYB, Suitability, Categorisation
Client information : products, risks
Chapter 4 : Financial Compagnies - Regulatory constraints on organization
1 - The Volker rule
2 - The compliance
3 - Global regulatory requirements (controls, process, training)
1 - Regulated Entities
2 - Market and Prudential Regulation
3 - Financial Market Infrastructure
Chapter 2 : Financial Criminality
1 - Market Abuse
2 - Money Laundering / Terrorism financing
Chapter 3 : Client interaction (MiFiD, FATCA, CRS, LAB)
Client knowledge : KYC, KYB, Suitability, Categorisation
Client information : products, risks
Chapter 4 : Financial Compagnies - Regulatory constraints on organization
1 - The Volker rule
2 - The compliance
3 - Global regulatory requirements (controls, process, training)
Modalités
Organization
Type | Amount of time | Comment | |
---|---|---|---|
Présentiel | |||
Cours magistral | 16,00 | ||
Travail personnel | |||
Charge de travail personnel indicative | 16,00 | ||
Overall student workload | 32,00 |
Evaluation
The assessment will be based mostly on a final exam. The exam will take the form of Multiple Choice Questionnaire. The questionnaire will require both knowledge and understanding of the course.
Final rating will be then modified based on oral participation of the student (no more than a 10% upgrade can be awared for oral participation - no downgrade for an absence of participation)
Final rating will be then modified based on oral participation of the student (no more than a 10% upgrade can be awared for oral participation - no downgrade for an absence of participation)
Control type | Duration | Amount | Weighting |
---|---|---|---|
Contrôle continu | |||
Participation | 16,00 | 1 | 10,00 |
Examen (final) | |||
Examen écrit | 3,00 | 1 | 90,00 |
TOTAL | 100,00 |