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