Compliance in Financial Markets

Compliance in Financial Markets
Governance, Risk & Compliance

August 23-25, 2021

Online Training

3 Days

Intermediate to Advanced

16 CPEs

Upcoming Sessions
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Learning Objective

Build the skills and knowledge needed to gain an understanding of governance and compliance, the regulatory landscape, compliance communication, and how to implement an effective compliance framework.

Course Description

The course covers key aspects of compliance, the regulatory landscape, and how to implement an effective compliance framework. In addition, this course instills an understanding of the compliance issues that may arise and how to build and manage a successful compliance function.

Who Should Attend

Compliance Officers and Managers, Capital Markets Employees, Regulators, Stock Exchanges, and Brokers.

Course Outline

  1. Introduction to Compliance
  2. Governance and Compliance
  3. Regulatory Landscape
  4. Global Regulatory Environment
  5. The GCC/MENA Regulatory Environment
  6. An Effective Compliance Framework
  7. Communicating Compliance
  8. Managing Relationship with Regulators
  9. Compliance Training and Development

Areas of Expertise

  • Governance
  • Finance and Accounting
  • Financial and Non-Financial Risk Management
  • Compliance
  • Internal Audit

Language(s) of Instruction



Our instructors are seasoned professionals who add value through real-life examples to enable better implementation of the concepts learned.

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