Program Overview

Navigating International Financial Regulation and Compliance

Course Overview

Dive into our engaging course on International Financial Regulation & Compliance designed to provide you with the critical rules governing two major financial regulation regimes: the UK and EU models. Whether you’re managing financial services or offering legal counsel on financial regulation and compliance, this course empowers you to navigate this evolving area with confidence and expertise.

Course Overview

• Duration: 4 days
• Credit value: Not for credit
• Fees & Discounts:
  • Full Price: £2,500.00
  • Staff: £2,125.00
  • Alumni: £2,125.00

Course Features

Explore the fundamental principles established by leading global standard setters in international financial regulation, including the BCBS, FSB, FATF, and IOSCO. You’ll gain valuable insights into how these principles are implemented within the frameworks of UK law and supranational EU regulations, ensuring you have a comprehensive understanding of the regulatory environment that shapes financial practices.

Focus on Governance and Compliance

We will place particular emphasis on the governance structures and rules that mandate the establishment of a compliance function as a second line of defense in risk management. You’ll discover how this function collaborates with other critical areas, such as cybersecurity, data protection, and risk management.

In-depth Analysis of Financial Products

Additionally, the course offers a thorough analysis of key financial products, including securities, bonds, derivatives, and syndicated loans, along with various transaction types. You will examine these products in the context of applicable financial regulations and supervision, gaining insights into how regulatory standards influence their structure, trading, and risk management.

Educational Objectives

• Identify, understand, and apply financial regulation: Develop the ability to identify, comprehend, and effectively apply the relevant rules of financial regulation within the UK and EU to your professional roles.
• Governance and risk management: Gain a thorough understanding of the rules and processes necessary to establish robust governance and risk management frameworks in financial services firms, with a particular focus on the banking sector.
• Rationale and structure of financial regulation: Cultivate an understanding of the rationale, structure, and content of financial regulations introduced in the wake of the Global Financial Crisis.
• Recognising the limits of financial regulation: Explore the inherent limitations of financial regulation in the context of dynamic and innovative financial markets.

Learning Outcomes

• Application of financial regulation: Demonstrate the ability to identify, understand, and apply relevant rules of financial regulation within the UK and EU to practical roles in financial services, including legal advice.
• Governance and risk management frameworks: Understand and implement the necessary rules and processes to establish effective governance and risk management frameworks in financial services firms, with a focus on the banking sector.
• Insight into regulatory evolution: Develop a comprehensive understanding of the rationale, structure, and content of financial regulations introduced after the Global Financial Crisis, recognising their implications for current practices.
• Critical evaluation of regulatory limits: Analyse the inherent limitations of financial regulation in the context of dynamic financial markets, encouraging critical thinking about the challenges of effective regulation.
• Comprehensive product analysis: Conduct an in-depth analysis of major financial products, including securities, bonds, derivatives, and syndicated loans, within the framework of applicable financial regulations.

Academic Team

• Dr Michael Meissner: Lecturer in Financial Law at The Dickson Poon School of Law, brings over 20 years of international experience in financial law and compliance to the classroom.
• Professor Eva Lomnicka: Globally renowned for her research and writing in UK financial regulation and consumer credit law.

Entry Requirements

This course is designed for mid-to-senior level professionals whose decision-making and team management processes are influenced by financial regulation in the UK and EU. Participants will benefit from understanding the supervisory practices of key regulatory bodies, including the FCA, Bank of England, PRA, European Central Bank, ESMA, and SRB.

While there are no specific entry requirements, we recommend that participants possess at least a bachelor’s degree in business, finance, economics, law, or a related field, along with relevant professional experience.

Teaching Schedule