CS52: FINANCIAL MARKETS LAW
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This paper is intended to equip the candidate with the knowledge, skills and attitudes that will enable him/her to comply with the laws and regulations governing financial markets.
A candidate who passes this paper should be able to:
Comply with the legal provisions relating to financial markets
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
Weekly Course Recap Zoom Session
What Will I Learn?
- (a) Provide the candidate with knowledge and skills in organizational behavior management and the legal environment in which businesses operate.
- (b) Enable the candidate to apply the principles of public finance and taxation in practice.
- (c) To provide a basis for further progression to CS Part VI
Topics for this course
REGULATION OF FINANCIAL SERVICES
Historical development of law and regulation governing financial markets.
Need for regulation
Regulatory strategies in financial services
Central Bank of Kenya
Capital Markets Authority
Deposit Protection Fund
Insurance Regulatory Authority
Retirement Benefits Authority
Sacco Societies Regulatory Authority
Institute of Certified Investment and Financial Analysts (ICIFA)
Professional bodies in financial services
Regulations in the international financial markets
The International Organisation of Securities Commissions (IOSCO) principles for self regulation
REGULATION OF CAPITAL MARKETS
REGULATION OF FINANCIAL SERVICES INTERMEDIARIES
CENTRAL DEPOSITORY SYSTEM
IMMOBILISATION AND DEMATERIALISATION
RAISING CAPITAL IN THE SECURITIES MARKET
SECURITIES REGISTERS, ACCOUNTS AND RECORDS
PREVENTION OF MONEY LAUNDERING
EMERGING ISSUES AND TRENDS
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.