Fundamentals of the Regulatory Framework for the Financial Services Sector
The concept of corporate governance has featured regularly in discussions, both within the professional and academic community, since the 1990s and has become even more prominent following significant cases of corporate failure that had adverse effects on the global interconnected economy.
The link between poor corporate governance practices and the excessive taking of risks that led to the downfall or bail-out of significant financial institutions necessitated a discussion on how to strengthen corporate governance and protect the economy against similar cases in the future.
Effectively, new regulatory requirements have been established, while existing codes of governance have been revised. Such efforts aim to focus on requirements that should be fulfilled by an organisation’s management body and enhance three areas of governance: remuneration, risk management, and internal control.
For the corporate governance framework of banks and investment firms, there are detailed legislative rules and guidelines issued by the relevant supervisory authorities such as the European Banking Authority (EBA), the European Securities and Markets Authority (ESMA), the European Central Bank (ECB), and the national supervisory authorities.
Course ContentFollowing completion of this course, you will be able to:
This course may take up to five (5) hours to complete. Keep in mind, however, that actual study time varies based on each learner’s training pace.
Cost£350 (includes self-paced online course, customer support, and one-year free membership to IGCA)
Who Should Enrol?This course is ideal for anyone wishing to be introduced to the main regulatory provisions in financial services and trends in corporate governance. Professionals carrying out the roles of directors, members of the Board, senior managers, lawyers, company secretaries, compliance and risk officers, and consultants may benefit from this course. It is also suitable to professionals pursuing regulatory CPDs in financial regulation.
Training Method
The course is offered online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop, and resume their training at any time.
At the end of each session, participants take a quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.
Accreditation and CPD RecognitionThis programme has been developed by the International Governance and Compliance Association (IGCA), a globally recognised GRC certification organization and network.
The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for five (5) CPD units that approve education in financial regulation. The course may be also approved for CPD units by institutions that approve general financial training such as CISI and ACAMS.
Eligibility criteria and CPD units are verified directly by your association, regulator, or other any other body for which you hold membership.
Registration and AccessTo register for this course, click on the button above to pay online and receive instant access. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.
Access to the course is valid for 90 days.
If you wish to receive an invoice instead of paying online, please email us here. Also, please get in touch if you’d like to discuss special corporate group rates.