A candidate who passes this paper should be able to:
- Identify the key elements of the legal and regulatory framework relating to financial markets
- Demonstrate understanding of the licensing requirements of intermediaries in the financial market
- Relate with and enforce requirements of market regulators, the securities exchange and other financial market players
- Demonstrate an understanding of the processes and law on anti-money laundering and financing of Terrorism;
- Apply corporate governance principles in the management of market intermediaries
