The program will explain the potential failures in a financial world – with past instances (case studies) and the introduction of new regulations and governing bodies. The focus will be on USA & UK, while Asian market related entities will be touched-upon.
Evolution of Regulation – with examples of financial crisis
Regulatory Bodies & roles
Regulatory reporting in USA & UK (including Dodd Frank Act, EU Directives)
Stock Exchange Regulations
Sarbanes Oxley Act
Anti Money Laundering & Know Your Customer (KYC)