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CIFA Regulation of Financial Markets KASNEB Notes

Regulation of Financial Markets Notes

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This paper is intended to equip the candidate with knowledge, skills, understanding and attitudes that will enable him/her to comply with and implement the regulatory framework governing financial markets in practice.

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Description

CIFA SECTION 3

REGULATION OF FINANCIAL MARKETS

Topics Covered:

  1. Introduction to Law
  2. Financial markets regulatory institutions
  3. Regulations of Capital Markets
  4. Financial market intermediaries
  5. Central Securities Depository
  6. Securities Exchanges and Clearing Agencies
  7. Investment Funds
  8. Corporate Governance and Conduct of Business of Market Intermediaries
  9. Anti-Money Laundering and Combating the Financing of Terrorism

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