Regulatory Fundamentals for the Financial Services Sector

This course offers a comprehensive review of the major regulations, directives and regimes of financial firms.


Effective capital and financial markets are an essential component of both developed and developing economies. They fuel economic development and help with the creation of wealth. Keep in mind that confidence and trust in these markets is vital to these economies’ long-term success and stability. A sudden loss of confidence and trust can lead to the failure of the financial companies involved and will have an adverse impact on the economy.   Additionally, this loss of confidence and trust may lead to a reduction in employment opportunities available to local professionals. Often, both the collapse of large financial institutions and the difficulties faced by others have been highly detrimental to many developed economies. Subsequent bank and government bailouts, as well as the impact caused by cuts in government spending and tax hikes, have affected millions of people across the world. This course offers a comprehensive review of the major regulations, directives and regimes of financial firms. It includes MiFID II, EMIR, Anti-Money Laundering, Market Abuse Regulation, AIFMD and UCITS. It provides a solid grounding on Ethics and Compliance, as well as GDPR.  

Training Duration

This course may take up to 17 hours to be completed. However, actual study time differs as each learner uses their own training pace.



This course is ideal for anyone wishing to be introduced to the main regulatory provisions in financial services. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation.


Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.

At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.


Registration and Access

To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.

Access to the course is valid for 180 days.

If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.

This programme has been developed by the European Institute of Management and Finance (EIMF), a globally-recognised training institution.

The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 15 CPD Units that require CPD training in financial regulation. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI, ICA, and ACAMS.

Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

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