Dodd-Frank Regulatory Reform Seminar

Training Duration: 2 days

Training Delivery Method: On‐site, instructor‐led course; or online, instructor‐led course

Prerequisites:

C-Level, Audit, Security or Risk Management professionals.

What Problem Does This Training Help Solve?

Provides in-depth information to help participants Understand the Dodd-Frank Act and minimize risk of non-compliancy

Who Should Attend

Dealers, Buy Side, End Users, Regulators and those in the fields of Compliance, Legal, Technology, Operations and Front Office

Course Syllabus:

This training course is for individuals primarily in the financial industry field. In this course, professionals will learn the current and updated knowledge areas as determined by the Dodd-Frank Act:

  • Review of the G‐20 accord
    • What was required and what wasn’t
    • Mandates for national regulators
  • Review of:
    • The Dodd‐Frank Act (DFA),
    • European Market Infrastructure Regulation (EMIR)
    • Europe’s Markets in Financial Instruments Directive and Regulations (MiFID/MiFIR)
  • US regulations on swaps (Title VII)
    • Reporting
    • Clearing
    • Trading
    • Business Conduct
  • US regulations on banks (Section 619)
    • Proprietary trading
    • Ownership of private funds
  • EU regulations on swaps clearing and reporting (EMIR RTS)
  • EU Regulations on trading (MiFID/MiFIR RTS)
  • EU proposed version of Section 619
  • Cross‐border implications
  • Market changes globally
  • Strategies for success