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New York Institute of Finance

Risk Regulation – the Dodd-Frank act

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Description

This course is a comprehensive review of the objectives and regulations of the Dodd-Frank Act. The impact of the act on financial intermediaries, financial markets and instruments is covered in detail.

Prerequisite knowledge:

  • Knowledge of financial markets.

CURRICULUM

Day 1

MODULE 1: INTRODUCTION TO THE ACT

  • History of Dodd-Frank
  • Overview of the Law

MODULE 2

  • Role of Regulators
  • History of Dodd-Frank Regulations

Day 2

MODULE 1

  • Consumer Protections
  • Ending Too Big To Fail
  • Living Will
  • Collateral Requirements
  • Derivatives Reporting Requirements
  • Position Limits

MODULE 2

  • Federal Bank Supervision
  • Executive Compensation
  • Credit Rating Agencies
  • Business Conduct Verification
  • Advanced Warning
  • Transparency and Accountability for Exotic Instruments
  • Minerals From Specified Sources
  • CVA

WHAT YOU'LL LEARN

CURRENT REGULATORY REFORMS AND REAL-TIME CONSEQUENCES IN TODAY'S FINANCIAL MARKETS

  • Describe the components of the Dodd-Frank regulatory reforms
  • Compare and contrast proposed changes to the financial regulatory framework being proposed by the UK and Europe
  • Identify advantages and disadvantages to proposed regulations
  • Discuss banks' reactions to regulations

Who should attend

  • Front middle and back office professionals
  • auditors
  • financial journalists
  • lawyers
  • legislators and regulators
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