Terminal Objective:

By the end of this module, participants will be able to determine the roles and functions of regulators and intermediaries and the applicable rules and regulations relevant to capital market products and services.

Enabling Objectives:  

• Describe the roles and functions of the relevant regulatory bodies related to capital market activities
• Explain the regulatory requirements applicable to specific regulated activities
• Outline products, rules and regulations pertaining to derivatives
• Distinguish capital market activities that are allowed and restricted, including limitations for the allowed activities
• Monitor trades and activities in accordance with applicable procedures and regulations