This comprehensive course provides a broad overview of global financial regulations, covering the major regulatory frameworks and their implications for financial institutions operating in international markets. Participants will learn about banking regulations, securities laws, insurance supervision, and emerging regulatory trends across key jurisdictions including the United States, European Union, United Kingdom, and Asia-Pacific regions. The curriculum examines the regulatory responses to financial crises, the evolution of prudential standards, and the increasing focus on conduct risk and consumer protection. Through comparative analysis and case studies, learners will develop a holistic understanding of the global regulatory landscape and its impact on financial services.
Financial Regulations: A Global Overview
Banking, Insurance and Financial Services
October 25, 2025
Introduction
Objectives
Upon completion of this course, participants will be able to:
- Understand major global financial regulatory frameworks
- Navigate cross-border regulatory requirements
- Identify regulatory trends and developments
- Assess regulatory impacts on business operations
- Develop global compliance strategies
- Manage regulatory change processes
- Coordinate with multiple regulatory authorities
- Implement international regulatory standards
- Anticipate future regulatory developments
Target Audience
- Compliance Professionals
- Legal Counsel
- Risk Management Officers
- Financial Services Executives
- Regulatory Affairs Staff
- Internal Auditors
- Business Development Managers
- International Operations Staff
Methodology
- Regulatory case studies
- Jurisdictional comparison exercises
- Compliance strategy workshops
- Regulatory change simulations
- Cross-border scenario analysis
- Future trend discussions
Personal Impact
- Enhanced global regulatory knowledge
- Improved compliance strategy skills
- Stronger analytical capabilities
- Better risk assessment abilities
- Enhanced strategic thinking
Organizational Impact
- Improved global compliance
- Enhanced regulatory relationships
- Better risk management
- Reduced cross-border violations
- Increased international competitiveness
Course Outline
Unit 1: Global Regulatory Framework
International Standards- Role of international standard-setting bodies
- Basel Committee on Banking Supervision
- International Organization of Securities Commissions
- International Association of Insurance Supervisors
Unit 2: United States Regulations
Banking Regulations- Dodd-Frank Act provisions
- Federal Reserve requirements
- FDIC insurance and supervision
- OCC national bank regulations
- SEC rules and requirements
- FINRA oversight framework
- Investment Advisers Act
- Sarbanes-Oxley requirements
Unit 3: European Union Framework
Banking Union- Single Supervisory Mechanism
- Single Resolution Mechanism
- Capital Requirements Regulation
- Bank Recovery and Resolution Directive
- Markets in Financial Instruments Directive
- Alternative Investment Fund Managers Directive
- Undertakings for Collective Investment
- Payment Services Directive
Unit 4: United Kingdom Regulations
Post-Brexit Framework- Financial Conduct Authority handbook
- Prudential Regulation Authority requirements
- Senior Managers and Certification Regime
- UK implementation of international standards
- Consumer protection requirements
- Market abuse regulations
- Financial promotion rules
- Complaint handling standards
Unit 5: Asia-Pacific Regulations
Major Jurisdictions- ASEAN financial integration
- Cross-border supervision arrangements
- Regional standard implementation
- Emerging market regulations
Unit 6: Emerging Regulatory Trends
Digital Transformation- Fintech regulations
- Digital asset frameworks
- Open banking requirements
- Cybersecurity regulations
- Sustainable finance regulations
- Climate risk requirements
- ESG disclosure standards
- Green finance frameworks
Unit 7: Compliance Management
Global Program Development- Cross-border compliance strategies
- Regulatory change management
- Stakeholder engagement approaches
- Regulatory relationship management
- Regulatory convergence trends
- Geopolitical impacts on regulation
- Technology-driven regulatory changes
- Global regulatory coordination
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