Certificate in Capital Markets Compliance

Enroll in the Certificate in Capital Markets Compliance and take your Compliance Career to the next level!

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Course Description

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.

What You Will Get From This Course

In-demand Skills

Gain the relevant knowledge to ensure that you are supporting your firm and progressing your career.

Career Credential

Get a certificate from the FCA Financial Crime Academy.


Study on-demand and at your own time and pace, regardless of where you are in the world with this flexible online course.

Global Community

Get access to our exclusive LinkedIn group with 1,500+ like-minded professionals and experts.

Course Material

Download supplementary course material such as the comprehensive course study guide.

Quiz Questions

Test your knowledge with multiple-choice questions and determine which skills you have mastered!

Course Overview

Learning Objectives

  • Understand relevant concepts relating to capital markets compliance
  • Explain the role of capital markets compliance
  • Comprehend capital markets compliance rules and regulations in the European Union
  • Comprehend capital markets compliance rules and regulations in the United States of America
  • Explain how markets compliance supports the integrity of international financial markets
  • Understand how capital markets compliance protects consumers
  • Understand how capital markets compliance is used for employees and director dealings
  • Identify key capital markets compliance principles in an organizational context

Target Audience

  • Professionals wanting to acquire and demonstrate specialized knowledge in capital markets compliance and related organizational risks
  • Professionals wanting to increase their value through a better understanding of capital markets compliance in an organizational context
  • Professionals wanting to build a comprehensive capital markets compliance knowledge and skills
  • Career starters and students wanting to get an edge in capital markets compliance


For participating in this Certificate Program, you will need an electronic device with online video-viewing capabilities (e.g., smartphone, tablet, laptop, desktop computer, etc.). You will need no previous knowledge in compliance or anti-financial crime, although this is helpful. A background in business, legal, or finance might also be beneficial but is not required.

Learning Method

This Certification Program is presented entirely online. Modules can be completed in your own time and at your own pace. This interactive, supportive teaching model is designed for busy professionals and results in unprecedented certification rates for Certification Programs.

Course Curriculum

Introduction to the Program

  • Introduction to the Program

Module 1: Markets Compliance Foundation

  • Introduction to This Module
  • What is Markets Compliance?
  • Application Areas of Financial Markets Regulation
  • Why is Markets Compliance Important?
  • Fines for Violations of Financial Markets Regulation
  • Module Summary
  • Multiple Choice Quiz

Module 2: Overview of European Cornerstone Regulation

  • Introduction to This Module
  • Market Abuse Regulation (MAR) and Market Abuse Directive (MAD)
  • Markets In Financial Instruments Directives (MiFID II)
  • Markets In Financial Instruments Regulations (MiFIR)
  • Module Summary
  • Multiple Choice Quiz

Module 3: Overview of US Cornerstone Regulation

  • Introduction to This Module
  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Trust Indenture Act of 1939
  • Investment Company Act of 1940
  • Sarbanes-Oxley Act of 2002
  • Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
  • Module Summary
  • Multiple Choice Quiz

Module 4: Markets Compliance Key Principles #1: Protecting the Integrity of Financial Markets

  • Introduction to This Module
  • Insider Trading
  • Instruments for Overseeing Insider
  • Market Manipulation
  • Ad-hoc Publicity
  • Insider Lists
  • Short Trading Regulation
  • Publication of Voting Rights
  • Managers’ Transactions
  • Notification Obligations
  • Suspicious Activity Reports
  • Conflicts of Interests
  • Module Summary
  • Multiple Choice Quiz

Module 5: Markets Compliance Key Principles #2: Protecting Consumers

  • Introduction to This Module
  • Qualification of Employees
  • Sales Requirements
  • Customer Classification, Product Governance, and Target Market
  • Investment Advice
  • Information Leaflets
  • Documentation Requirements
  • Incentives / Remuneration
  • Inducements
  • Churnin
  • Complaints
  • Module Summary
  • Multiple Choice Quiz

Module 6: Markets Compliance Key Principles #3: Employee Dealings

  • Introduction to This Module
  • Relevant Staff and Personal Dealings
  • Insider Lists
  • Control Approaches
  • Personal Conflicts of Interest
  • Module Summary
  • Multiple Choice Quiz

Module 7: Organizational Markets Compliance Concepts

  • Introduction to This Module
  • Markets Compliance Function
  • Control Activities
  • Risk Analysis
  • Suspicious Activity Reports
  • Module Summary
  • Multiple Choice Quiz

Final Assessment

  • Final Assessment

Completing the Program

  • Completing the Program

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Frequently Asked Questions

What are the requirements to take the courses?

All of our certification programs are open to students and professionals in various industries and levels of experience. Our curriculum is designed to teach what you need to know from basic fundamentals to advanced practical case studies. To take the courses and complete the exercises, students will only need access to a PC and/or Mac, a smartphone or table, and a stable internet connection.

Can I download course files and resources for the course?

Absolutely! All the files (including study guide, audiobook, course slides, etc.) in a course are available for download. Just look for a module that shows the files within a course.

How long do I have to complete the courses?

You will have yearly access to the courses as long as you maintain an active subscription. All the courses are self-paced as well so you can take your time in learning without worrying about any deadlines.

Are there any additional fees or costs?

None! The bundle price includes everything and there are no additional fees or charges to earn your digital certification.

What currency are your courses priced in?

All our online courses are priced in USD. As this is a recurring payment, we accept all major credit and debit cards including Visa, MasterCard, and American Express.

How do I earn my certificates?

Students must complete all the video lessons, quizzes, and final assessments in each course. You can retake the assessments as many times as necessary until you reach an 60% passing grade.

How are the exams conducted?

Students are required to complete an online assessment (mostly multiple choice questions) at the end of each course. You can take the exams on your own schedule and will need to earn at least 60% to pass the course and earn your certificate of course completion. Please note that course exams can be repeated as many times as you need.

Can I email the instructor if I have questions?

While the courses are designed mainly for self-study, we are happy to provide email assistance for general or technical support inquiries.

Will these courses help me advance my career?

Based on hundreds of reviews from thousands of students we know how the Financial Crime Academy’s courses have helped so many people advance their anti-financial crime, compliance, and risk management careers. Our courses are designed to teach in-demand skills and relevant background knowledge of subject matter expertise needed in practice.

More Questions?

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