The global financial crisis taught us a harsh lesson: a failure in market oversight carries dire consequences. Today, the stakes are even higher.
With the explosion of Big Tech, the rise of digital money, and the looming systemic impacts of climate change, yesterday's risk management structures are no longer enough. The landscape of capital markets is shifting rapidly, and the world needs regulators and risk managers who can see around corners.
Are you ready to step up as a guardian of the modern financial system?
In this cutting-edge course, you will move beyond traditional securities regulation and discover how today’s financial supervisors are innovating to meet unprecedented global challenges.
The course aims at developing a practical understanding of the compliance and supervision frameworks and activities of financial markets with specific attention to Bangladesh capital market.
Upon successful completion of the course, participants are expected to
🎓Understand regulatory environment and supervisory frameworks
🎓Appraise key approaches, protocols, and procedures of supervision activities
🎓Describe supervisory challenges faced by both domestic and international financial market
🎓Assess the risks and potential consequences of inadequate supervision
🎓Understand how supervision challenges should be addressed within regulated intermediaries
The course will cover the following broad areas:
✒️Fundamentals of Compliance and Key Theoretical Approaches
✒️Compliance with Conduct of Business and Prudential Requirements
✒️Creative Compliance, Whistleblowing and Culture - the Links with Regulation and Compliance
✒️Compliance of different market intermediaries: Stock broker and dealer, AMC, Merchant Banker, Trustees etc.
✒️Financial supervisory culture and effective supervision frameworks
✒️Quality of financial supervision
✒️Developments in supervisory enforcement
✒️Consequences of inadequate supervision
✒️Key approaches, protocols, and procedures of supervision activities (General administration; Personnel; Firm supervision and oversights; Insider trading; Anti-money laundering; Sales practices; Disclosure to customer; Financial and operational issues; Capital and credit regulations; Margins; Internal control; Underwriting; Fixed income securities; Mutual funds; Options; Trading and trading operations etc.)
✒️Global trends in financial supervision- BigTech, Data analytics for prudential supervision
✒️The next frontier for financial oversight: Cyber resilience, RegTech, SupTech
Don't let the next wave of financial disruption catch you off guard. Equip yourself with the tools to innovate, integrate, and lead.
