A guide to regulation

  • Category
    Compliance
  • Type
    Online
  • Duration
    1,5 day
  • Start date
    15 June 2022
  • Price
    €395,-
  • Languages
    EN, NL

The world of finance is full of laws and regulations. But not everyone working in the financial sector has legal expertise. How do you find your way in all the laws, regulations and standards? How are they connected? Where do regulations come from and what is the status of, for example, a guideline and a directive? In this training we familiarize you with supervisory legislation for financial services: regulations, directives and other legal acts such as guidelines.

Target audience

The training ‘A guide to regulation’ is intended for employees of financial institutions who are involved in the implementation of regulations in their day-to-day practice.

Prior knowledge

This is a training course at HBO (higher vocational education) level. No special prior knowledge is required. We do assume that you have general knowledge of the financial services sector.

Objective

Upon completion of this training you will be able to:

  • Outline the legislative process in financial services in the EU and in the Netherlands;
  • Distinguish between regulations, directives and other legal acts within financial supervision legislation;
  • Describe the different policy statements of the relevant supervisors;
  • Describe the role and powers of financial supervisors in the EU;
  • Describe in outline the main regulations affecting financial institutions in the EU;
  • Estimate impact and frequency of legislative changes;
  • Using concrete examples:
    • Interpret the text of regulations and explain what is meant by them;
    • Explain how a new rule relates to pre-existing regulations;
    • Read through a piece of legislation in a structured manner;
    • Assess when you have followed enough references in the text to have a good idea of the impact of the new rules;
    • Determine what information is relevant to make sense of the purpose and spirit of the rules, such as Explanatory Memorandum and regulator Q&As;
    • Explain key terms.

Structure

This training starts with preparatory self-study in our online learning environment. Here, you get to know the legal landscape of financial institutions. This is followed by an in-class session in which you will work on a number of cases, guided by a compliance specialist from Charco & Dique.

Preparatory self-study

  • Legislative Process
  • Supervisory landscape
  • Regulation

In-class training

  • Working on specific cases

Certificate

After completing the training, you will receive a certificate of participation.

Study duration

The preliminary study takes about four hours and the in-class session one day.

Questions?

Schedule a Teams meeting

Do you have any questions about this training? Our learning specialists are happy to answer them. Schedule a Teams meeting with us now.

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What our participants say

”Good introduction into how laws and regulations are developed, and what we have to comply with.”

”The training has a good structure and gives a good introduction into the legislative process of the financial sector.”

Why this training?

  • Learn to understand the legislative process in the financial services industry
  • Developed by compliance specialists from Charco & Dique
  • Pragmatic theory supplemented with instructive cases

Personal advice

Interested in a hands-on training course that your employees will enjoy? Please feel free to contact us for more information about the possibilities.

FAQs

Do you offer tailor-made courses?

We think our courses should have practical relevance for all participants. We are happy to adapt our standard programs, so that they fit in with what is going on in your organization. You can personalize content or create a combination of subjects from different DSI programs. Read more about tour tailor-made solutions.

How can I follow the courses?

Our courses are easily accessible, both online and through the app of aNewSpring. You can study wherever and whenever you want.

Wealso offer ‘blended learning’ programs, in which we combine the benefits of in-class and online learning.

How can I sign up for a course?

The Ministry of Compliance distinguishes between individual registrations and registrations on behalf of an organization. As an individual, you can sign up through the website. Just click the ‘register’ button and you can get started right away.

Organizations that want to register several employees at once can get in touch with us. We will make sure your employees can get started as soon as possible.

What about reporting?

Demonstrable professional competence requires good reporting. That is why you can easily create and export reports within our online learning environment via a free accessible dashboard. As an individual participant you can keep track of your own progress. As an organization you can also appoint a contact person who has insight into the progress reports of the entire group of participants.

Who is behind The Ministry of Compliance?

The Ministry of Compliance is an initiative of Charco & Dique, specialists in financial laws and regulations. Our courses are developed by experienced consultants, supplemented with knowledge from external experts.

 

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