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Banking Regulations

Banking Regulations

Banking and Financial Markets, Regulation, Risk and Credit

Duration: One day

Information

This is a one-day course with the possibility of being extended, per the client’s request.

Schedule

Session 1:

Regulatory environment of the UK

Financial Services Authority
Financial Services and Markets Act 2000
Basel 11 and Basel 111
MiFID
UCITS
Dodd Frank

Session 2:

The FSA Handbook

High level standards
Senior management
Conduct of business
Client assets
Complaints, Ombudsman and compensation

Session 3:

Other financial regulation

Insider dealing and market abuse
Money laundering and counter-terrorism
Bank of England and Treasury

Session 4:

When it went wrong– collapses, failures and fraud

Northern Rock
Barings
Madoff and Stanford
Societe Generale
Lessons learnt
Future shape of regulation

Course Close

Register interest

As every course we run is tailored to meet the specific needs of each client, we can only provide an estimate after fully understanding your specific requirements. Please complete the form below of call +44 (0) 208 894 4977 to discuss how Taylor Associates can help you.