Derivatives Regulatory Requirements Course

Financial Regulation Courses (FRC)

Overview

The Derivatives Regulatory Requirements course offers a detailed exploration of the global regulatory framework for derivatives markets.
Covering the scope of regulations, key market regulators, and compliance practices in the EU, UK, US, and Asian markets, this course prepares participants to navigate the complex legal landscape governing derivatives.
The course emphasises key directives such as MiFID II, MiFIR, EMIR, and Dodd-Frank, as well as regulatory practices in major economies like Japan and China.
Learners will gain a comprehensive understanding of both local and international regulatory obligations for market participants.

Learning Objectives

By the end of this course, learners will:

• Understand the scope of derivatives regulations in global markets, including the UK, US, EU, and key Asian economies.


• Recognize the roles of major market regulators, including the FCA, SEC, CFTC, ESMA, and others.


• Grasp the significance of MiFID II, MiFIR, EMIR, and other major directives for the derivatives markets.


• Comprehend the implications of cross-border regulatory agreements for financial institutions and investment firms.


• Master the principles of client categorization, best execution, and market transparency under MiFID II and other regulations.


• Understand the global reforms impacting OTC derivatives markets, including risk mitigation measures like central clearing and trade reporting.

Learning Outcomes

Upon successful completion of the course, learners will:

• Be able to effectively navigate the regulatory requirements for operating in the derivatives markets, whether through futures, options, or OTC derivatives.


• Identify the key differences between EU and US regulations and apply the appropriate compliance measures.


• Understand how to implement best practices for client protection under frameworks such as MiFID II and EMIR.


• Apply regulatory knowledge to manage market risk, ensure transparency, and meet reporting requirements.


• Accurately categorise clients based on regulatory requirements and apply the correct safeguards for retail, professional, and eligible counterparty clients.


• Ensure compliance with both local and international regulations, reducing systemic risks and fostering financial market stability.