Financial Regulation and Derivatives Markets

October 31 – November 1, 2017 New York City  Seminar Location

April 10-11, 2018, New York City  Seminar Location

Many classes sell-out; we suggest registering at least two weeks in advance to ensure your seat.

Hours9:00 am – 5:00 pm; Registration/Breakfast: 8:30 am; Dress Code: Business Casual

CPE Credits: 14

Prerequisites: None
Method: Group Live

The last few years, especially 2013, have been extraordinary for derivatives markets. Evolving regulatory frameworks in the US, UK, and continental Europe are changing the derivatives markets landscape for traders, risk managers, auditors, regulators, supervisors, and compliance officers. This interactive course will cover key regulatory components pertinent to global derivatives markets. The course is comprised of a presentation, case studies, and recent relevant articles by the instructor used to stimulate discussion amongst the participants.

Learning Objectives

At the end of the course, students will be able to:

  • Describe key regulations impacting financial derivatives
  • Evaluate Dodd-Frank’s Title VII
  • Identify key Basel III components which will impact derivatives markets
  • Discuss current themes in how financial regulation is influencing market developments

Module I: Dodd-Frank and Title VII

  • Describe purpose of Title VII
  • Compare and contrast roles of CFTC and SEC in derivatives markets
  • Enumerate derivatives products covered by Title VII
  • Discuss DCOs and their requirements under Title CII
  • Discuss cross-border implications of Title VII

Module II: Basel III and Derivatives

  • Define CVA and its purpose for derivatives
  • Describe Basel III and US leverage ratio and its potential influence on derivatives markets
  • Discuss proposed capital calculation requirements for derivatives counterparty risk
  • Evaluate proposed CCP capital charge and its potential effect on derivatives markets

Module III: Current Themes in Evolving Financial Regulation and Its Impact on Derivatives Markets

  • Evaluate whether there is a potential collateral shortage due to financial regulatory requirements
  • Highlight key differences in US, UK, and European derivatives regulation
  • Discuss changing roles of SROs in derivatives markets
  • Identify key supervisory derivatives aspects for bank examiners inspecting derivatives’ portfolios

US $1695.00

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