Presented in association with OMX-The Nordic Exchange - FINRA presents a Certificate in Compliance and Regulation for The Nordic Region
As today's capital markets and regulatory environment become increasingly complex, financial industry professionals are seeking additional training and knowledge to help them address compliance and regulatory issues. In response to this need for practical compliance education, FINRA has developed an intensive three-day compliance programme for financial institutions and organisations in the Nordic region. The programme is presented in association with OMX-The Nordic Exchange, and focuses on the Nordic financial markets, highlighting the rules, regulations and practices of the Nordic region.
The Certificate in Compliance and Regulation for the Nordic Region is designed to:
Give participants a broad understanding of current critical issues related to the regulation of capital markets
Equip compliance and regulatory professionals to deal more effectively with complicated issues created by evolving capital markets regulations
Allow participants to discuss their differing approaches to similar compliance and regulatory challenges
Learn practical, applicable compliance knowledge from expert practitioners, including the tools and mechanisms that can be applied to address compliance concerns.
This certificate programme is ideal for compliance, regulatory and legal professionals who seek to deepen their understanding of today's multifaceted regulatory and compliance structures and issues, including:
Professionals working in compliance and regulation
Legal, audit, risk, operations and IT specialists
Brokers and other industry participants seeking a sound understanding of compliance and regulation
Senior managers entrusted with supervisory responsibilities over trading/dealing desks and other departments
The certificate programme provides a comprehensive overview of key approaches and trends in regulation and compliance, and uses a variety of teaching methods, including lectures, illustrative examples, case studies and participant interaction to help attendees grasp complex compliance and supervisory issues. The programme is taught in English by professionals from the United Kingdom as well as by local industry experts from Nordic institutions and organisations. Please note that modules may be taken on a one-off basis for participants looking for in-depth knowledge on specific topics. The programme coursework provides participants with:
In-depth knowledge on how to structure a compliance function and how to develop an effective compliance programme, including MiFID requirements
Practical means of tackling compliance and regulatory matters relevant to both primary and secondary markets, including money laundering and market abuse offences
Impact of local/Nordic regulatory matters on Nordic capital markets
Case studies that offer appropriate and practical means of approaching and dealing with complex compliance and regulatory matters.
