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Certificate in Capital Markets Compliance

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Course curriculum

    1. Disclaimer

    2. Welcome Message

    3. Introduction to this Course

    1. 🗣️ Instructor-Led Course Live Tutoring

    1. Download — Audio Book

    2. Download — Study Guide

    3. Download — Course Slides

    1. Introduction to this Module

    2. What is Markets Compliance?

    3. Application Areas of Financial Markets Regulation

    4. Why is Markets Compliance Important?

    5. Fines for Violations of Financial Markets Regulation

    6. Module Summary

    7. Multiple Choice Quiz

    1. Introduction to this Module

    2. Market Abuse Regulation (MAR) and Market Abuse Directive (MAD)

    3. Markets In Financial Instruments Directives (MiFID II)

    4. Markets In Financial Instruments Regulations (MiFIR)

    5. Module Summary

    6. Multiple Choice Quiz

    1. Introduction to this Module

    2. Securities Exchange Act of 1934

    3. Trust Indenture Act of 1939

    4. Investment Company Act of 1940

    5. Sarbanes-Oxley Act of 2002

    6. Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

    7. Module Summary

    8. Multiple Choice Quiz

About this course

  • 74 lessons
  • 4.5 hours of video content