Modules:

Module 1: Overview of Financial Regulation

• Structure of financial regulators (SEC, FCA, etc.)
• Licensing and authorization requirements
• Overview of banking and investment institution ecosystems
• Legal definitions of securities and financial instruments
• Case study: Getting licensed as a broker-dealer

Module 2: Securities Offerings & Market Integrity

• Public vs private offerings
• Prospectus obligations
• Market abuse and insider trading rules
• Disclosures and public filings
• Case study: Managing insider trading allegations

Module 3: Anti-Money Laundering / Counter Financing Terrorism (AML/CFT)

• Customer due diligence and KYC
• Transaction monitoring systems
• Reporting suspicious transactions
• Sanctions screening
• Case study: Detecting a layered money laundering scheme

Module 4: Trading & Clearing Compliance

• Market conduct frameworks
• Clearing, settlement, margin requirements
• High-frequency trading regulations
• Recordkeeping and audit trails
• Case study: Responding to a compliance audit after trade anomaly

Module 5: Enforcement & Crisis Response

• Regulatory investigations and penalties
• Internal investigations and remediation
• Crisis management strategy
• Reporting to regulators and public
• Case study: Handling a regulatory enforcement action