Regulation and compliance in financial markets
This e-learning course 'Regulation and compliance in financial markets' supports you in mastering this topic in a professional context.
This course aims to help you understand the key issues of financial compliance.
The examples, situational exercises, and case studies are designed to be easily transferable to different professional contexts and types of organizations.
Prerequisites
No specific prerequisites are required to follow this course.
Target Audience
Managers, HR managers, and employees concerned with the topic 'Regulation and compliance in financial markets'.
Content
The course is structured into several complementary modules, combining theoretical contributions, practical applications, and interactive activities to facilitate the appropriation of concepts.
Training path
Understanding the risks of non-compliance in qualityAn e-learning module accessible individually or as part of a complete course on Finance, Management Control, and PurchasingWhy is financial compliance today an essential…An e-learning module accessible individually or as part of a complete course on Finance, Management Control, and Purchasing
Why is financial compliance today an essential strategic lever?
This module offers you an immersion into the major issues of compliance in financial markets. If you work on a trading floor, in front office, or are in charge of compliance, you are exposed to complex, evolving, and potentially risky regulatory obligations.
➡ Through this module, you will:
- Understand why compliance is at the heart of market stability
- Identify the concrete consequences of failing to meet regulatory obligations: legal risks, financial losses, damage to reputation
- Discover the structuring role of European regulations such as MiFID II or the MAR regulation
- Develop a strategic vision of the role of compliance, far from a simple control function
This module is part of a complete course on Finance, Management Control, and Purchasing, but can also be taken independently to acquire the essential foundations before diving into practical cases and simulations in an immersive environment.
This is the ideal entry point for anyone wishing to understand the governance and protection mechanisms of financial markets, and to anticipate compliance challenges in a context governed by strict and constantly evolving texts.
Mastering project management frameworks and rulesModule 2 of the course "Regulation and compliance in financial markets"(Theme: Finance, Management Control & Purchasing)Enhance your regulatory knowledge with this essential module, designed…Module 2 of the course "Regulation and compliance in financial markets"
(Theme: Finance, Management Control & Purchasing)
Enhance your regulatory knowledge with this essential module, designed for anyone facing the growing demands of compliance in market activities:
- Finally understand the major European regulations that shape the daily life of trading rooms: MiFID II, MAR (Market Abuse Regulation), EMIR (European Market Infrastructure Regulation)
- Review the basics without unnecessary jargon, with practical examples and clear contextualization
- Develop the right reflexes to avoid non-compliance risks by mastering the requirements for transparency, reporting, governance, and client protection
- Train independently or integrate this module into a complete course related to the global challenges of the Finance / Management Control / Purchasing function
This module is designed for compliance officers, trading room staff, and anyone needing a solid foundation on European regulatory frameworks to limit legal and reputational risks.
To be followed alone or as part of the complete course on financial regulation. This module lays the essential foundations for any effective compliance strategy.
Applying compliance rules to reduce risksLearn to secure your practices in a regulated market environmentIn the complex and highly regulated environment of financial markets, the slightest compliance error can…Learn to secure your practices in a regulated market environment
In the complex and highly regulated environment of financial markets, the slightest compliance error can have major consequences: significant fines, damage to the institution's reputation, or even criminal sanctions. This e-learning module helps you transform regulatory constraints into a professional reflex.
Designed for compliance officers as well as front-office staff, this module guides you in adopting the right reflexes when faced with non-compliance situations:
- Interactive scenarios inspired by real-life events to confront you with concrete choices and assess your ability to react in a dynamic context
- Expert advice to decode the main obligations: MiFID II, MAR, best execution rules, conflict of interest management, market abuse...
- Frequently made mistakes explicitly analyzed and deconstructed to better avoid them
- A case-based approach to pedagogy, to link your regulatory obligations to your daily actions
➡ To be taken independently or integrated into the "Finance, Management Control & "Purchasing," this module fits perfectly into a skills development approach focused on compliance in a financial context. Are you looking to sustainably strengthen your compliance posture in financial markets? This module is designed for you.
Compliance Practices for Managing Risks in ActionModule available individually or as part of the complete "Finance, Management Control & Purchasing" programMove from theory to action with immersive trainingDo you have…Module available individually or as part of the complete "Finance, Management Control & Purchasing" program
Move from theory to action with immersive training
Do you have a solid grasp of the fundamentals of financial compliance? It's time to apply them in realistic conditions. This module immerses you in three interactive scenarios, directly inspired by incidents observed on the trading floor.
The program includes:
• Choices to make, consequences to anticipate: each decision modifies the rest of the scenario
• Non-compliance incidents to identify in real time
• Practical exercises with key regulations: MiFID, MAR, AML/CFT, etc.
• Personalized feedback for each situation, to validate or reinforce your compliance reflexes
A powerful tool to strengthen your field skills
This module is designed specifically for:
• Compliance officers wishing to test their responsiveness in sensitive situations
• Front-office staff facing daily regulatory obligations
• Anyone wishing to develop their skills specifically on concrete non-compliance risks
Take this module independently to reinforce your knowledge, or integrate it into a learning path more comprehensive on financial compliance within your organization (Finance, Management Control & Purchasing functions).
Master quiz - Regulation and Compliance in Financial MarketsAn immersive serious game to test and consolidate your knowledge of financial complianceDive into an exciting interactive quiz inspired by the greatest TV game…An immersive serious game to test and consolidate your knowledge of financial compliance
Dive into an exciting interactive quiz inspired by the greatest TV game shows! This module offers you a challenge worthy of a TV set: 15 questions of increasing difficulty to reach the top and prove your expertise in financial regulation, compliance, control, and risk management.
This module can be taken independently or integrated into the e-learning training path "Finance, Management Control & Purchasing". It serves as an excellent resource for review or preliminary diagnosis for front office professionals and compliance officers.
Game Concept:
Your mission: answer correctly to 15 consecutive questions on the regulations and compliance issues of financial markets.
3 levels secure your progress:
• Level 1: 5 correct answers = beginner level validated
• Level 2: 10 correct answers = intermediate level achieved
• Level 3: 15 correct answers = certified expert level
3 jokers to assist you:
• 50/50: two incorrect answers are eliminated
• Regulatory consultation: you receive a hint about the regulatory framework
• Call a colleague: a virtual character suggests a relevant answer
This fun and stimulating format promotes memory retention and mastery of key regulations such as MiFID II, MAR, or EMIR, while enhancing your analytical and reactive capabilities in real situations.
Ideal for:
• Identifying gaps before starting a position
• Dynamically reviewing before a certification
• Leading a workshop on financial compliance awareness
• Challenging peers during a pedagogical team building