Markets compliance is the process to comply with all applicable laws, and regulations that govern the securities or investment market, through the development, and implementation of policies, processes, procedures, and practices.
Such policies, processes, and systems are developed by the management, under the supervision of the Board of Directors. The aim is to ensure that applicable regulations related to Markets Compliance are complied with in letter and, spirit by all the employees including the management.
All the markets dealing in securities, shares, bonds, and other instruments are cumulatively required to follow the respective applicable market regulatory requirements while developing and implementing the Markets Compliance policies and, procedures.
Increased use of technology and market compliance regulatory breaches have led to regulators imposing penalties, forcing the increased implementation of market compliance regulations. Hence, learning how market compliance works has become crucial to avoid such issues. This certificate program can help you as it provides a practical way forward, with clear, actionable guidance that strengthens governance at all levels and balances supervisory and compliance requirements in doing business.
This certificate program is a specialist training that offers seven modules covering relevant compliance concepts relating to financial and capital markets, including key capital market compliance principles and related regulatory requirements. It also includes valuable examples to help you apply them in real scenarios.