Paper No. 3 Regulation of Financial Markets

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

Syllabus