Compliance, réglementation et droit

Crédit : 2 ECTS

Volume horaire

  • CM : 15 h

The course aims at providing operational staff with clear understanding of Compliance requirements and the risks of not being compliant both on a firm level but also on an individual basis

Compliance requirements for staff operating in an investment banking environment

Planning course :
  • Introduction to compliance : Definition, Main missions, Misc
  • Part 1 - Introduction to Compliance : introduction to regulatory framework, main risks, definition, mains missions, organizational rules
  • Part 2 - Professional obligations, conflicts of interest and employees supervision - Study Cases
  • Part 3 - Market Abuse : general provisions, insider dealing, market manipulations, investment recommendations - Study Cases
  • Part 4 - Relations with clients and rules of conduct : client catégorisation, client information, product governance, appropriateness and suitability, handling complaints - Study Cases
  • Part 5 -Financial Security : anti money laundering and fight against terrorism, financial sanctions and embargos, bribery and fight against corruption - Study Cases
  • Revisions

Supports will be provided one week ahead of class. Students are expected to read them carefully and list questions if any.
Class hours will be dedicated to analyzing and discussing situations, cases and / or sanctions for illustration purposes.
  • Contrôle continu
  • Examen final

M1 finance, économétrie, mathématiques, grandes écoles de commerce ou d’ingénieur.

M1 et cours en finance de marché.

Arrêté du 3 novembre 2014 Abrégré des marchés financiers - CFPB

Enseignant responsable


Année universitaire 2018 - 2019 - Fiche modifiée le : 19-04-2018 (10H46) - Sous réserve de modification.