This course is designed to provide learners with essential knowledge to navigate the complex world of securities regulation. The primary focus will be on European regulations, with particular emphasis on the Market Abuse Regulation (MAR).
Topics include a brief introduction to securities regulation, the structure and roles of regulatory authorities, market manipulation and insider trading, anti-money laundering (AML) compliance, regulatory reporting obligations, and mandatory takeover rules. Rather than concentrating on a single domestic jurisdiction, the course will offer a comparative perspective, examining key differences and similarities between European and U.S. securities regulations.
Our aim is to foster a collaborative learning environment where participants critically engage with key principles of securities regulation. By exploring both European and U.S. frameworks, we aim to build a shared understanding of regulatory structures, promote awareness of compliance challenges, and develop practical insights into issues such as market abuse, insider trading, and AML requirements. Together, we will strive to cultivate the analytical and ethical mindset essential for navigating global financial markets.
This course has three week-long missions:
Topics include a brief introduction to securities regulation, the structure and roles of regulatory authorities, market manipulation and insider trading, anti-money laundering (AML) compliance, regulatory reporting obligations, and mandatory takeover rules. Rather than concentrating on a single domestic jurisdiction, the course will offer a comparative perspective, examining key differences and similarities between European and U.S. securities regulations.
Our aim is to foster a collaborative learning environment where participants critically engage with key principles of securities regulation. By exploring both European and U.S. frameworks, we aim to build a shared understanding of regulatory structures, promote awareness of compliance challenges, and develop practical insights into issues such as market abuse, insider trading, and AML requirements. Together, we will strive to cultivate the analytical and ethical mindset essential for navigating global financial markets.
This course has three week-long missions:
- Week 1: Understand the basic principles of securities regulation and the role of regulators.
- Week 2: Understand the legal framework of criminal securities regulation.
- Week 3 Mission: Understand regulatory reporting obligations for listed companies, and mandatory takeover rules.
