CF31: REGULATION OF FINANCIAL MARKETS
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This paper is intended to equip the candidate with knowledge, skills and attitudes that will enable him/her to comply with the regulatory framework governing financial markets.
A candidate who passes this paper should be able to:
Comply with the legal provisions relating to financial markets, including the laws of contract and agency
Comply with the licensing regulations of the securities exchange
Comply with the guidelines and rules of the central depository system
Identify the offences and penalties relating to trading in securities
Demonstrate an understanding of the processes and law of anti-money laundering
Maintain securities registers, accounts and records
About the instructors
e-Learning Training and Consultation
Globopoint Consultants Limited is a fully registered Research, Training, and Consultancy firm based in Mombasa Kenya serving the entire East African region and beyond. The company is geared towards building professionals, entrepreneurs, growing businesses, and fostering sustainable economic development.
Globopoint Learning center is a fully accredited institution run by Globopoint Consultants Limited to specifically nurture modern-day professionals in the business field in an easy, practical, and convenient way.