⚖️ Global Financial Regulation Course: Frameworks, Compliance & ACCA-Aligned Financial Learning 🏦

Module 1: Foundations of the Global Financial Regulators Framework Training

ü  Rationale and objectives of financial regulators framework training

ü  Key global regulatory bodies (FSB, BIS, IOSCO) and their mandates

ü  Principles of prudential vs. conduct regulation

ü  Types of regulatory frameworks (entity-based vs. activity-based)

ü  Practical Session: Identifying and defining the supervisory scope for a universal bank

Module 2: The Basel Accords and Capital Adequacy (Financial Training)

ü  Overview of Basel III reforms and core requirements

ü  Calculating Risk-Weighted Assets (RWA) across different risk types

ü  Understanding and managing regulatory capital ratios (CET1, Tier 1, Total Capital)

ü  Liquidity management: LCR and NSFR requirements

ü  Practical Session: Calculating the minimum capital requirement for a simplified bank balance sheet

Module 3: Securities, Market Conduct, and Investor Protection

ü  The role of the IOSCO in coordinating global securities regulation

ü  Rules governing issuance, listing, and trading of financial instruments

ü  Financial training on preventing market manipulation and insider trading

ü  Disclosure and transparency requirements for listed companies

ü  Practical Session: Analyzing a prospectus to identify key regulatory disclosures

Module 4: Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF)

ü  FATF Recommendations and their global adoption

ü  Implementing a risk-based approach (RBA) to AML

ü  Enhanced Due Diligence (EDD) for high-risk clients and transactions

ü  Global sanctions compliance and screening procedures

ü  Practical Session: Reviewing and updating a Customer Due Diligence (CDD) policy for a digital payment firm

Module 5: Operational Risk and Technology Governance

ü  Defining and managing operational risk under the financial regulators’ framework training

ü  Regulatory expectations for IT governance and outsourcing

ü  Cybersecurity and data protection requirements

ü  Business continuity and operational resilience planning

ü  Practical Session: Mapping the operational risks for a new core banking system implementation

Module 6: Regulatory Risk Assessment and Control Frameworks

ü  Developing a robust Compliance Risk Assessment (CRA) process

ü  The Three Lines of Defense model in financial training compliance

ü  Designing and testing effective internal controls

ü  Reporting on control effectiveness to the Board and regulators

ü  Practical Session: Evaluating the adequacy of controls for managing conflicts of interest

Module 7: Consumer Protection and Market Integrity

ü  Regulations ensuring fairness and transparency in client dealings

ü  Handling complaints and managing resolution processes

ü  Financial training on preventing mis-selling and product unsuitability

ü  Ethical considerations in product design and distribution

ü  Practical Session: Developing a scenario analysis for a potential mis-selling complaint

Module 8: Cross-Border Compliance and Regulatory Arbitrage

ü  Home vs. host country supervision models

ü  Challenges of multi-jurisdictional compliance for global institutions

ü  Rules governing cross-border financial data flows

ü  Strategies to manage regulatory divergence and avoid arbitrage

ü  Practical Session: Identifying the primary regulator for a cross-border lending transaction

Module 9: Supervisory Examination and Regulatory Reporting

ü  Types of supervisory examinations and inspection processes

ü  Preparing for and managing a regulatory audit

ü  Best practices for mandatory regulatory reporting (SARs, capital reports)

ü  Addressing and remediating regulatory findings effectively

ü  Practical Session: Drafting a formal response to a mock regulatory deficiency letter

Module 10: Integrating Ethics and ESG into Financial Learning ACCA Standards

ü  The importance of a strong compliance culture and ethics

ü  Financial learning ACCA alignment on governance and professional conduct

ü  Emerging regulation on Environmental, Social, and Governance (ESG) risk

ü  Future trends in financial regulators framework training (e.g., FinTech, climate risk)

ü  Practical Session: Analyzing an ethical dilemma related to financial reporting integrity

About Our Trainers

Our trainers are seasoned experts in financial regulators framework training and compliance, many of whom have previously worked for central banks, financial regulators, or served as Chief Compliance Officers (CCOs) in major financial institutions. They hold high-level certifications, including those relevant to financial learning ACCA members, such as the CAMS (Certified Anti-Money Laundering Specialist) or CFA. Their average of 15+ years of practical experience ensures the financial training content is strategic, accurate, and reflects current regulatory implementation challenges.

Quality Statement

Phoenix Center for Policy, Research and Training is committed to delivering premium financial training that sets the benchmark for regulatory expertise and professional conduct. This course on the Financial Regulators Framework Training is rigorously designed to be comprehensive and aligned with the standards expected for professional financial learning ACCA roles. Our dedication to quality is confirmed by our NITA Approval, ensuring participants receive an exceptional and recognized learning experience.

Admission Criteria

ü  Participants should be reasonably proficient in English.

ü  Applicants must live up to Phoenix Center for Policy, Research and Training admission criteria.

Tailor-Made Courses

We understand that every organization has unique challenges and opportunities as well as unique training needs. Phoenix Training Center offers tailor-made courses designed to address specific requirements and challenges faced by your team or organization. Whether you need a customized curriculum, a specific duration, or on-site delivery, we can adapt our expertise to provide a training solution that perfectly aligns with your objectives. We can customize this Course to focus on your industry, specific risk profile, or internal stakeholder dynamics. Contact us to discuss how we can create a bespoke training program that maximizes value and impact for your team. For further inquiries, please contact us on Tel: +254720272325 / +254737296202 or Email training@phoenixtrainingcenter.com

Booking for Training

Simply send an email to the Training Officer on training@phoenixtrainingcenter.com and we will send you a registration form. We advise you to book early to avoid missing a seat to this training. Or call us on +254720272325 / +254737296202

Payment Options

We provide 3 payment options, choose one for your convenience, and kindly make payments at least 5 days before the Training start date to reserve your seat:

ü  Groups of 5 People and Above – Cheque Payments to: Phoenix Center for Policy, Research and Training Limited should be paid in advance, 5 days to the training.

ü  Invoice: We can send a bill directly to you or your company.

ü  Deposit directly into Bank Account (Account details provided upon request)

Cancellation Policy

ü  Payment for all courses includes a registration fee, which is non-refundable, and equals 15% of the total sum of the course fee.

ü  Participants may cancel attendance 14 days or more prior to the training commencement date.

ü  No refunds will be made 14 days or less before the training commencement date. However, participants who are unable to attend may opt to attend a similar training course at a later date or send a substitute participant provided the participation criteria have been met.

Accommodation and Airport Transfer

For physical training attendees, we can assist with recommendations for accommodation near the training venue. Airport pick-up services can also be arranged upon request to ensure a smooth arrival. Please inform us of your travel details in advance if you require these services. For reservations contact the Training Officer on Email: training@phoenixtrainingcenter.com or on Tel: +254720272325 / +254737296202