FINRA Investment Banking and Advisory Short Course
Duration: 2 days
Dates: 10 - 11 November 2008, FINRA, London
This course examines regulatory and compliance issues arising from investment banking advisory activities, including the raising of capital (primary and secondary capital markets issues); marketing and distribution of new issues; mergers and acquisitions and regulatory issues relating to the management of confidential information; information barriers; conflicts and market abuse.Case studies provide delegates with opportunities to discuss the practical implementation of compliance in various investment banking advisory scenarios.
This course is part of the Capital Markets, Regulation and Compliance Diploma and Short Courses offered by the ICMA Centre and FINRA. You can study this course on a stand-alone basis or as part of the full Diploma.
Participant Profile
- Compliance staff with at least one year's experience; staff with more than five years' experience may benefit from individual short courses rather than the full diploma
- Operational risk and internal audit staff, who need greater insight into compliance and regulation
- Lawyers (0-2 PQE) who want a "real world" view of implemented compliance (short courses recommended)
- Regulators from other countries who want to better understand the challenges of implementation.
Content
- Primary and secondary capital markets: capital raising strategies and techniques, marketing and distribution
- Mergers and acquisitions: UK Takeover Panel
- Advisory compliance: conduct of business rules, managing confidential information, information barriers and conflicts
- Advisory compliance: Market Abuse Regime
- International offerings and distributions: the US perspective