Financial Services – Basics of Regulation & Compliance



Get an Understanding of the Regulatory and Compliance environment in the Financial Services Sector

What you will learn

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Purpose of financial regulation

Role of global regulatory bodies

Key legislation and their impact

AML, KYC and CTF principles among many others

Importance of customer due diligence

Regulatory Environment

Ethics and Compliance Culture

Risk management strategies

Use of RegTech in compliance

Ethical leadership and culture

Data protection in financial services

Consequences of non-compliance

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