Global Certificate in Market Surveillance & Conduct Risk
-- ViewingNowThe Global Certificate in Market Surveillance & Conduct Risk is a comprehensive course that equips learners with critical skills in market monitoring, financial regulation, and conduct risk management. This program is essential for professionals seeking to excel in the financial services sector, where maintaining market integrity and ensuring compliance with regulations are paramount.
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GBP £ 140
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โข Market Surveillance and Conduct Risk Overview — Understand the fundamental concepts, importance, and benefits of effective market surveillance and conduct risk management in global financial markets.
โข Legal and Regulatory Framework — Explore the domestic and international laws, regulations, and best practices guiding market surveillance and conduct risk management.
โข Risk Identification and Assessment Techniques — Learn various methods and tools for identifying, evaluating, and prioritizing conduct risks in financial institutions.
โข Market Manipulation and Insider Trading — Delve into the various types of market manipulation and insider trading, their detection, and prevention strategies.
โข Surveillance Systems and Technology — Discover advanced surveillance systems, data analytics, and AI technologies employed in monitoring financial markets and mitigating conduct risks.
โข Trade and Communications Surveillance — Understand the importance of monitoring trade activities and electronic communications in ensuring market integrity and managing conduct risks.
โข Incident Management and Response Planning — Develop robust plans and procedures for managing and responding to conduct risk incidents, including reporting and escalation processes.
โข Surveillance Operations Management — Gain insights into the effective management of surveillance operations, including resource allocation, team structuring, and workflow optimization.
โข Surveillance Reporting and Analytics — Explore the key performance indicators (KPIs), metrics, and visualization techniques used in surveillance reporting and analytics.
โข Case Studies and Best Practices — Examine real-world examples and industry best practices to reinforce learning and encourage effective market surveillance and conduct risk management.
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