COMPLIANCE IN SHORT SELLING
This advanced course is designed for professionals and financial compliance officers interested in understanding the legal intricacies of compliance in short selling. The course provides an in-depth analysis of the existing regulatory frameworks, landmark cases, ethical considerations, and emerging trends affecting the practice of short selling in the financial markets. This course aims to cultivate expertise in the field, emphasizing both theoretical understanding and practical application of legal principles in real-world scenarios.
Course Objectives
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To impart a comprehensive understanding of the legal landscape governing short selling, both in the U.S. and internationally.
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To analyze key legislation such as the Securities Act of 1933, the Securities Exchange Act of 1934, Regulation SHO, and Dodd-Frank Wall Street Reform.
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To explore ethical dilemmas and considerations surrounding the practice of short selling.
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To study landmark cases and current legal disputes in the realm of short selling.
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To understand compliance issues and enforcement mechanisms.
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To critically assess emerging trends and potential future legal changes in short selling practices.