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FINANCIAL MARKET COURSES

Dodd-Frank Act – An Overview

MiFID – the Markets in Financial Instruments Directive – is a key part of the European Commission’s Financial Services Action Plan (FSAP). It was introduced to replace the Investment Services Directive (ISD), the former regulatory cornerstone for European investment firms, and provides for a comprehensive regulatory regime covering investment services and financial markets in Europe.

 

This course introduces the MiFID regulations, explains the key features of the Directive, and identifies the main market participants to whom MiFID applies.

  • OBJECTIVES

    On completion of this course, you will be able to:

    Provide a brief overview of all 16 titles of the Dodd-Frank Act

    Outline how the Act impacts the regulation of financial institutions

    Outline how the Act impacts the business of trading

  • COURSE OUTLINE

    Topic 1: Structure of the Dodd-Frank Act

    Title I: Financial Stability

    Title II: Orderly Liquidation Authority

    Title III: Transfer of Powers to the Comptroller of the Currency, Corporation and Board of Governors

    Title IV: Regulation of Advisors to Hedge Funds and Others

    Title V: Insurance

    Title VI: Improvements to Regulation of Bank and Savings Association Holding Companies and Depository Institutions

    Title VII: Wall Street Transparency and Accountability Act

    Title VIII: Payment, Clearing, and Settlement Supervision

    Title IX: Investor Protections and Improvements to the Regulation of Securities

    Title X: Bureau of Consumer Financial Protection

    Title XI: Federal Reserve System Provisions

    Title XII: Improving Access to Mainstream Financial Institutions

    Title XIII: Pay it Back Act

    Title XIV: Mortgage Reform and anti-Predatory Lending Act

    Title XV: Miscellaneous Provisions

    Title XVI: Section 1256 Contracts

    Topic 2: Regulation of Financial Institutions

    New Offices Created by the Act

    o Financial Stability Oversight Council (FSOC)

    o Office of Financial Research (OFR)

    o Consumer Financial Protection Bureau (CFPB)

    Elimination of the Office of Thrift Supervision (OTS)

    New Securities Regulation Offices

    Other Offices

    Capital Requirements

    Collins Amendment

    Prudential Standards

    Capital Requirements for Participants in OTC Derivatives Markets

    Credit Rating Agencies

    Registration Requirements for Advisors to Private

    Topic 3: Impact on Trading

    Volcker Rule

    OTC Derivatives

    Asset-Backed Securitization

  • PREREQUISITE KNOWLEDGE

  • ESTIMATED COMPLETED TIME

    60 Minutes

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