Regulation and Supervision

1 day course on Regulation and Supervision in Banking

Course Aim:

This course will enable all participants to gain a thorough understanding of how Regulation and Supervision operates within the banking and financial services sectors on the Domestic, European and International levels.

Course Objectives:

At the end of the course all delegates will be able to:

• Describe the Regulatory and Supervisory framework operating within the Banking and Financial services industry
  
  
• Identify the relevant Regulatory Authorities and the organisations that need to be regulated.

Course Contents:

Overview

• Structure of the City
• Main players
• Different types of institutions
• Principal markets
• Principal instruments

Financial Services Authority

• Financial Services Act 1986
• Role of the FSA
• Role of the Bank of England
• Self-regulatory organisations.

Regulatory Issues

• Identifying the regulator
• Other regulatory bodies
• Rules on dealing in shares
• Money laundering
• Internal monitoring and control
• Lessons from Barings

The International Dimension

• The Basle Agreement
• Recent changes
• B.I.S. Guidelines
• Capital adequacy
• Credit risk models
• Risk adjusted return on capital.

The European Dimension

• European Directives
• Impact of the single European currency
• Impact of the Central European Bank
• Current developments and proposals