Advanced Financial Regulations and Compliance
( 25 Modules )

Module #1
Introduction to Financial Regulations
Overview of financial regulations, importance of compliance, and global regulatory landscape

Module #2
Basel Accords and Risk Management
Basel I, II, and III, risk management frameworks, and capital adequacy requirements

Module #3
Anti-Money Laundering (AML) and Combating Terrorism Financing (CFT)
International standards, customer due diligence, and reporting suspicious transactions

Module #4
Know Your Customer (KYC) and Customer Onboarding
KYC principles, customer identification, and onboarding procedures

Module #5
Financial Action Task Force (FATF) Recommendations
FATFs 40 Recommendations, country assessments, and implementing regulations

Module #6
Dodd-Frank Act and Volcker Rule
Dodd-Frank Acts key provisions, Volcker Rule, and restrictions on banking activities

Module #7
EU Financial Regulations:MiFID, EMIR, and GDPR
Markets in Financial Instruments Directive (MiFID), European Market Infrastructure Regulation (EMIR), and General Data Protection Regulation (GDPR)

Module #8
US Financial Regulations:SOX, Dodd-Frank, and Fed Regulations
Sarbanes-Oxley Act (SOX), Dodd-Frank Act, and Federal Reserve regulations

Module #9
Financial Crisis and Regulatory Response
Causes and consequences of financial crises, regulatory responses, and lessons learned

Module #10
Regulatory Expectations for Boards and Senior Management
Oversight responsibilities, risk governance, and regulatory expectations for boards and senior management

Module #11
Conduct Risk and Culture
Conduct risk, cultural risk, and organizational culture

Module #12
Compliance Risk Management and Governance
Compliance risk management frameworks, governance structures, and oversight

Module #13
Sanctions and Embargoes
International sanctions, embargo regulations, and compliance requirements

Module #14
Financial Crime and Fraud Prevention
Financial crime types, fraud prevention strategies, and fraud risk management

Module #15
Whistleblower Protection and Incident Response
Whistleblower protection laws, incident response planning, and crisis management

Module #16
Compliance Training and Awareness
Compliance training frameworks, awareness programs, and continuous professional development

Module #17
Regulatory Enforcement and Litigation
Regulatory enforcement actions, litigation risks, and defense strategies

Module #18
Data Privacy and Protection
Data privacy regulations, data protection principles, and data breach response

Module #19
Cloud Computing and Outsourcing Risks
Cloud computing risks, outsourcing risks, and regulatory expectations

Module #20
Financial Inclusion and Digital Payments
Financial inclusion initiatives, digital payments regulations, and risks

Module #21
Cybersecurity and Operational Resilience
Cybersecurity threats, operational resilience, and regulatory expectations

Module #22
Stress Testing and Scenario Analysis
Stress testing methodologies, scenario analysis, and regulatory requirements

Module #23
Regulatory Reporting and Disclosure
Regulatory reporting requirements, disclosure obligations, and transparency

Module #24
Compliance Function Effectiveness
Compliance function effectiveness, metrics, and continuous improvement

Module #25
Course Wrap-Up & Conclusion
Planning next steps in Advanced Financial Regulations and Compliance career

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Advanced Financial Regulations and Compliance ( 25 Modules )

Advanced Financial Regulations and Compliance
( 25 Modules )