LEGAL & CONDUCT RISK IN FINANCIAL MARKETS
This course provides a comprehensive analysis of legal and conduct risks associated with financial markets. It examines the regulatory framework, compliance requirements, and best practices to mitigate such risks. Students will delve into case studies of market misconduct, regulatory enforcement, and emerging trends in financial markets. This course aims to equip students with the necessary knowledge and skills to identify, assess, and manage legal and conduct risks in financial institutions.
Course Objectives:
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To develop an understanding of the regulatory framework and key concepts related to legal and conduct risk in financial markets.
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To analyze compliance requirements and the role of regulatory agencies in enforcing these requirements.
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To examine various forms of market misconduct and explore risk mitigation strategies.
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To evaluate case studies of regulatory enforcement and lessons learned.
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To discuss emerging trends and challenges in financial markets and their implications for legal and conduct risk management.
