COMPLIANCE IN PROPRIETARY TRADING
This advanced-level course delves into the intricate and complex regulatory landscape that governs proprietary trading within the financial markets. Designed for professionals, compliance officers, and financial market participants, the course covers an exhaustive range of topics from the legislative framework and regulatory bodies to best practices in ensuring compliance.
Course Objectives
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Understand the legal foundations and the regulatory bodies governing proprietary trading.
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Analyze the implications of key regulations, such as the Volcker Rule, MiFID II, and Dodd-Frank.
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Interpret and apply regulatory guidance and industry standards to proprietary trading activities.
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Examine the role of compliance in risk management, governance, and ethical considerations.
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Explore global perspectives on compliance, including EU, UK, and Asian frameworks.