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CS52: FINANCIAL MARKETS LAW

Description

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GENERAL OBJECTIVE

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.

LEARNING OUTCOMES

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

14 Lessons

REGULATION OF FINANCIAL SERVICES

Historical development of law and regulation governing financial markets.
Need for regulation
Regulatory strategies in financial services
Financial regulators
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 EXCHANGE

SECURITIES TRANSACTIONS

SECURITIES REGISTERS, ACCOUNTS AND RECORDS

CORPORATE GOVERNANCE

PREVENTION OF MONEY LAUNDERING

EMERGING ISSUES AND TRENDS

About the instructors

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114 Courses

0 students

GlobopointConsultantsLtd

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.

4.67 (6 ratings)

144 Courses

1409 students

KSh1,000.00

Material Includes

  • Regularly updated online notes
  • Handouts
  • Zoom sessions
  • Video Clips & Recordings
  • KASNEB Past Papers Questions and Answers
  • Case Studies

Requirements

  • Kenya Certificate of Secondary Education (KCSE) examination with an
  • aggregate average of at least grade C plus (C+).
  • kasneb technician, diploma, or professional examination certificate.
  • A degree from a recognized university.
  • Such other certificates or diplomas as may be approved by kasneb.

Target Audience

  • CS Section 4 Students
  • CPA Section 4 Students
  • CIFA Section 4 Students
  • CICT Section 4 Students
  • CCP Section 4 Students
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