Financial Regulations Courses and Certifications

Regulatory Landscape of Alternative Investments

Explore regulatory aspects of alternative investments, covering securities, accredited investors, due diligence, and best practices for various asset classes. Gain insights into private equity, hedge funds, and real estate trusts.

• Coursera
• 11 hours 31 minutes
• On-Demand
• Paid Course

Financial Services - Basics of Regulation & Compliance

295 ratings at Udemy

Get an Understanding of the Regulatory and Compliance environment in the Financial Services Sector

• Udemy
• 4 hours 53 minutes
• On-Demand
• Paid Course

DORA Certification Course, Build Financial Sector Resilience

236 ratings at Udemy

Master the EU Digital Operational Resilience Act (DORA) framework to strengthen ICT governance, risk, and compliance.

• Udemy
• 8 hours 18 minutes
• On-Demand
• Paid Course

Digital Operational Resilience Act (DORA)

92 ratings at Udemy

Master the EU's Digital Operational Resilience Act (DORA) framework, covering ICT risk management, incident reporting, resilience testing, and third-party oversight for financial sector compliance and operational readiness.

• Udemy
• 4 hours 16 minutes
• On-Demand
• Paid Course

SIE Exam Study Guide

Comprehensive preparation for the SIE exam, covering key securities industry concepts through engaging lessons, quizzes, and practice tests to build knowledge efficiently.

• Study.com
• 20 hours
• On-Demand
• Paid Course

EDUCBA

Dodd-Frank Act: Analyze, Evaluate & Reform

Explore the Dodd-Frank Act's foundations, evaluate its market impact, and master key reforms in governance, transparency, and risk management for financial compliance.

• Coursera
• 6 hours 34 minutes
• On-Demand
• Paid Course

Human Foibles, Fraud, Manipulation, and Regulation in Financial Markets - Lecture 8

1 review

Explore psychological factors influencing financial decisions and the role of regulatory bodies in protecting investors while maintaining market trust and participation.

• YouTube
• 1 hour 12 minutes
• On-Demand
• Free Video

Misbehavior, Crises, Regulation and Self-Regulation in Financial Markets - Lecture 12

Explore financial market regulation across five levels: firm, trade groups, regional, national, and international. Learn about regulatory bodies, historical context, and efforts to prevent market manipulation.

• YouTube
• 1 hour 16 minutes
• On-Demand
• Free Video

Financial Regulation and the CFTC - Gary Gensler's Public Address

Insights on financial regulation from CFTC Chairman Gary Gensler, covering market transparency, clearing, international coordination, and regulatory challenges in an expanding financial landscape.

• YouTube
• 1 hour 4 minutes
• On-Demand
• Free Video

Insights into Mathematics

Regional Reserve Banking and the Western Cactus Bank

Explore historical banking trends, regional reserve banks, and financial strategies through the tale of the Western Cactus Bank and Western Regional Reserve Bank in the Wild West era.

• YouTube
• 31 minutes
• On-Demand
• Free Video

Demonstration of FINRA's Machine-Readable Rulebook Initiative

Explore FINRA's innovative Machine-Readable Rulebook Initiative, revolutionizing regulatory compliance through advanced technology and streamlined processes.

• YouTube
• 34 minutes
• On-Demand
• Free Video

Exploring Open Regulation Technology with the LCR

Exploring open regulation technology using the LCR, demonstrating how regulations can be delivered as code and integrated with data cataloguing, lineage, and ontologies in the finance industry.

• YouTube
• 30 minutes
• On-Demand
• Free Video

Modernizing Regulatory Reporting: Preparing for T+1 Settlement

Explore the transition to T+1 settlement, its benefits, and how unified open-source platforms can streamline regulatory reporting in capital markets, enhancing efficiency and risk mitigation.

• YouTube
• 24 minutes
• On-Demand
• Free Video

Regulation Innovation in Open Source Finance - Panel Discussion

Experts discuss regulation innovation in finance, exploring digital currencies, open source, and engagement models for modernizing financial systems and regulatory approaches.

• YouTube
• 30 minutes
• On-Demand
• Free Video

Regulation Innovation - Stories from the Trenches

Explore real-world experiences and insights on regulatory innovation from industry experts, discussing challenges, strategies, and future trends in financial technology.

• YouTube
• 30 minutes
• On-Demand
• Free Video