E-learning course: Regulation and compliance in financial markets
Indicative duration: 1.5 hours – 100% online
Protect your organization against regulatory risks and secure your operations in financial markets.
In an increasingly regulated environment, regulatory compliance is no longer an option: it is a strategic lever. This immersive 6-module course provides you with a clear, operational, and directly applicable vision of financial regulations, good compliance practices, and the reflexes to adopt to prevent risks.
✔ For whom?
Designed for compliance officers, front office employees (trading, sales), as well as all professionals exposed to regulatory requirements.
✔ What you will master in 1.5 hours:
• Understand the legal, financial, and reputational issues related to non-compliance
• Understand the major standards such as MiFID II, MAR, EMIR, etc.
• Identify suspicious behaviors or transactions likely to violate the rules
• React correctly to a non-compliance alert or a detected breach
• Adapt your posture according to the context (products, market, speaker)
✔ An engaging and action-oriented teaching method:
• Module 1 – The key issues of compliance: Why compliance is critical and how it protects market stability.
• Module 2 – Regulatory fundamentals: MiFID II, MAR, EMIR… the major standards you absolutely need to know.
• Module 3 – Compliance best practices: Transaction monitoring, market abuse reporting, internal control systems.
• Module 4 – Adapting your vigilance according to the context: Risk typology and management by environment (equity markets, derivatives, interest rates, etc.).
• Module 5 – Immersive scenario: A fictitious trading room, a non-compliance incident, and it’s your turn!
• Module 6 – Final Mega Quiz: Validate your knowledge with a boosted, intelligent, and ultra-targeted quiz.
This module allows you of:
• Strengthen your regulatory culture
• Complete your compliance training obligations
• Train your teams independently, with reliable and up-to-date content
• Limit legal, financial, or image risks for your company
Gain vigilance, structure your processes, and become an active player in daily compliance.
