Financial Regulation and Compliance
Année du cours : 1 année(s)
Etablissement : IÉSEG School of Management
Langue : English
Formation(s) dans laquelle/lesquelles le cours apparait :
Période : S1
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…
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
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)
