Regulation and Compliance

Regulation and Compliance

  • Course Description

    Compliance training is the method of educating employees on the laws, regulations, and internal corporate policies and procedures that apply to their daily roles.

  • Course Objectives
    •  Understand regulatory reporting in US and UK
    •  Define stock exchange norms – NASDAQ and NYSE
    •  Implementation of Sarbanes -Oxley Act
    •  Understand European union directives
    •  Discuss APAC market Regulation
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