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Our courses are intended for a global audience, with each one being completely customisable to suit the needs of the individuals it is being delivered to.

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Financial Markets Regulation - Current and Emerging

  • Accounting, Banking and Financial Markets, Compliance, Financial Crime, Regulation, Retail Banking, Risk and Credit
  • Duration: One day
  • Information

    This is a highly participative 1 day programme designed for those who are working in of banking and international finance and require a comprehensive overview of Global Regulation and the impact on Financial Services.

    This course is specifically designed for management professionals who require an broader understanding of the impacting market regulations

    All terminology will be fully explained, and new financial markets initiatives explored.


    Learning outcomes:

    By the end of the course delegates will be able to:
      Understand the structure of Global Financial Markets Regulation.
      Who are the Regulators and how Global Regulation is implemented at national level.
      Understand how Financial Services are changing as a direct result of Regulation.
      Understand why the banks have had to change the way they operate in the markets to service their customers.
      Understand how banks are evolving, and the rationale behind the banks new business models.


    Global Financial Markets
      Defining our terms – capital market inter-relationships
      How finance is raised on the Global Markets – banking intermediation?

    The Regulators
      Why regulation is critical
      The role of Regulators – SEC,FSA, BIS, IMF, OECD
      Who exactly are the BIS and how do they operate
      Regulation in the UK – FCA, PRA, the twin-peaks approach
      How banks interact with regulators and the intelligence services
      AML and KYC

    Regulatory impact  Post Lehmans
      What happened to banks during the credit crunch and why?
      Post Lehmans – the US lead the way – Dodd Frank, SOX,FATCA
      The Volker Rule
      Regulatory arbitrage


    Regulation – Global, EU and the UK
    Banking - Basel
      Basel 1+11 – Regulatory Capital Requirements
    o Operational risk and the 4 Pillars
      Basel 111 and CRD 1V – Bank Capital and Liquidity Directives

    Basel Committee on Banking Supervision (BCBS)
      BCBS 219 – Fundamental Review pf the Trading Book (FRTB)
    o Risk measurement: VaR to ES
    o Standardised v Internal risk models
      BCBS 239 – Data governance and architecture
      BCBS 261 – Uncleared OTC swaps

    EMIR: Central clearing in EU gets closer, swap reporting
      Swap migration
      Collateral Management
      Central Securities Depositary Regulation (CSDR)

    EU Reporting
      Securities Financing Transaction Regulation (SFTR)
      Regulation on Energy Market Integrity and Transparency (REMIT)
      Financial Transaction Tax (FTT)

    Banks and Asset Managers
    Bank Ring- Fencing
    o Are retail banks as dangerous as investment banks?
    o The 3 objectives of ring-fencing
      HSBC vs Lloyds – the cost and consequence of ring-fencing

    Senior Managers Regime (SMR)
      The Senior Managers Regime
      The Certification Regime
      The new Conduct Rules.
      The new wider extension by 2018.
    o Duty of Responsibility clause
    o Traders and HFT’s are to be impacted.

    MiFID 11, MiFID/MiFIR
      Impacting European Financial Services
      Focus on Trading  - Multilateral Trading Facilities (MTF’s)
      ESMA and the regulatory framework
      UCITS V – Undertakings for the collective investment of transferable securities

    AIFMD 1/ AIFMID 11 - Alternative Investment Fund Managers/Hedge Funds
      Regulate the Fund Manager not the Funds
      Passport to manage AIF’s

    International Accounting Standards and Harmonization

    Common Reporting Standards (CRS/OECD)

      Why is this necessary and how are the banks involved
      Public Sector Finance/Tax Gaps/Tax fraud
      Financial Reporting in the Private and Public Sector
    o International Accounting Standards –  IAS, IFRS, GAAP, FATCA
    o Automatic Exchange of Information (AEoI)
    o Timeline for CRS

    Capital Markets Union (EU)
    o EU Regulatory Structure
    o Key drivers – Growth, regulation, culture, competitiveness and timing
    o A boost for investment banks

    Timelines, objectives and discussion
    o Regulatory heat-map (RAG)
    o Why are US Investment banks outperforming European IB’s?
    o What is the Future for Financial Services – function and innovation
    o Why Information Technology is the key?

    Course conclusion

    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.

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