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Global Financial Markets Institute»Regulation and Compliance Courses

Regulation and Compliance Courses

Today’s numerous regulation and compliance requirements continue to expand ever since the credit crisis hit the financial services industry hard. Whether you are an investment advisor, broker/dealer, hedge fund or financial institution, there doesn’t seem to be any end in sight.

On the regulatory compliance side — anti-money laundering, anti-fraud, anti-corruption, supervision, suitability, books and records, and the SEC Net Capital Rule — all continue to remain at the forefront of the industry’s concerns. The newer regulations, including the Volcker Rule, Basel III and the Dodd-Frank Act, have created even more extensive compliance requirements, resulting in added costs to the financial services industry.

GFMI offers a full suite of regulation and compliance courses. Following are just a few examples from our compliance and regulation curriculum:

Anti-Money Laundering/Anti-Terrorist Financing (AML/ATF)Compliance
Broker/Dealer Compliance
Conducting an Internal Forensic Audit – A How-to Primer
Corruption, Fraud, and Cyber Crime – How Market Integrity is Impacted
Cybersecurity, Cybercrime and Information, and DataCompliance
Dodd-Frank Act
Due Diligence – How to Gather and Utilize Information to Make Informed Decisions
Emerging Trends in Securities Fraud
Fintech Innovation – How to Keep Pace with Rapidly Evolving Digital Finance Technologies
Foreign Currency Exchange (Forex) Lifecycle Compliance
Hedge Fund Compliance
Investment Advisor Compliance Essentials
Mutual Fund Compliance
Volcker Rule Compliance
Basel III Endgame

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  • About Us
    ▼
    • Our Story
    • Our Team
    • Our Clients
    • Strategic Alliance
    • Our Associations
  • Services
    ▼
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Courses
    ▼
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance Course
    • Credit and Credit Analysis Course
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis Accounting
    • Fixed Income Courses
    • Foreign Exchange
    • Insurance
    • Municipals
    • Mutual Funds and ETFs
    • Operations
    • Portfolio Management
    • Quantitative Methods and Excel
    • Regulation and Compliance
    • Risk Management
    • Securities Lending — Repurchase Agreements
    • Securitization and Structured Finance
    • Structured Products
    • Wealth Management
  • Training Methods
    ▼
    • Classroom Training
    • Virtual Instructor-Led Training (VILT)
    • Online Learning — eLearning
    • Financial Simulation
    • Blended Learning
  • Insights
    ▼
    • eNews
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Contact us
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