CPD Course

Investment Banking Regulatory Agencies

Develop practical knowledge and confidence in Investment Banking Regulatory Agencies. This course will provide the learner with an introduction to the various investment banking and regulatory agencies that s/he will encounter and need to understand while working at the organization. After completing this course, the learner will understand the purpose and functions of the following...

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Investment Banking Regulatory Agencies

€60.00

Course Description

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Develop practical knowledge and confidence in Investment Banking Regulatory Agencies.

This course will provide the learner with an introduction to the various investment banking and regulatory agencies that s/he will encounter and need to understand while working at the organization. After completing this course, the learner will understand the purpose and functions of the following agencies, among others:

Why this course matters

This course turns the subject into practical, structured learning you can apply in real business and workplace situations. It is designed to help you move beyond definitions and understand how the ideas, tools and decisions covered in the course fit together.

What you will gain

Build a practical understanding of the key concepts covered in Investment Banking Regulatory Agencies.
Recognise where the topic applies in real workplace or business situations.
Apply the methods and good-practice approaches covered in the course with greater confidence.

Who is this course for?

This course is suitable for professionals, managers, business owners and learners who want practical knowledge they can apply in real workplace situations.

Course at a glance

Study time: approximately 2 hours.
Format: self-paced online learning.
Professional development: CPD course.

Course Outline

Seat Time: 1.75hrs

This course will provide the learner with an introduction to the various investment banking and regulatory agencies that s/he will encounter and need to understand while working at the organization. After completing this course, the learner will understand the purpose and functions of the following agencies, among others:

The U.S. Securities and Exchange Commission (SEC).
The U.S. Federal Reserve.
The Office of the Comptroller of the Currency.

Course Topics

T1. U.S. Securities and Exchange Commission: This topic will familiarize the learner with the various and extensive roles and responsibilities of the Securities and Exchange Commission (SEC), such as the SEC rulemaking process and by listing common violations that may lead to SEC investigations.

T2. U.S. Federal Reserve: This topic will familiarize the learner with the Federal Reserve (Fed) by explaining the structure of the Fed, how Reserve Banks work, and the differences between the three types of member banks.

T3. Financial Industry Regulatory Authority: This topic will familiarize the learner with the purpose and the goals of the Financial Industry Regulatory Authority (FINRA) and the areas of the securities business that FINRA affects.

T4. Office of the Comptroller of the Currency: This topic will familiarize the learner with the powers and objectives of the Office of the Comptroller of the Currency (OCC) and how the office relates to thrift charters.

T5. Federal Deposit Insurance Corporation: This topic will familiarize the learner with the Federal Deposit Insurance Corporation, its values, and the ways in which it insures and protects deposits in order to maintain public confidence.

T6. Commodity Futures Trading Commission: This topic will familiarize the learner with the role that the Commodity Futures Trading Commission (CFTC) plays in the effective oversight of the futures market.

T7. National Futures Association: This topic will familiarize the learner with the role and purpose of the National Futures Association (NFA) and what it means to be an NFA member.

Continue your learning

Part of this learning pathway: Compliance & Regulatory

Course pathway: eBSI Banking Academy > Compliance & Regulatory > Investment Banking Regulatory Agencies

Explore more Compliance & Regulatory training or return to the eBSI Banking Academy.

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Your questions, answered

Does the course include a certificate?

The course assessment leads to a downloadable digital PDF CPD Certificate of Completion. See the course description for the CPD credits awarded.

What is CPD?

CPD stands for Continuing Professional Development. It is the ongoing learning that helps you maintain and develop the knowledge and skills you use in your work. Courses, workshops and other learning activities can contribute to your CPD record.

Can I ask a question before enrolling?

Book a free video consultation to discuss your goals and course choice.