Other Training Programs

Legal and Regulatory Framework of Financial Markets

Réf: LRFM-205

Legal and Regulatory Framework of Financial Markets

PUBLIC TRAINING
IN-HOUSE TRAINING
TAILOR-MADE TRAINING

IN-PERSON OR REMOTE CLASS

Duration: 2 days

➕ Remote learning activity

2050,00 € VAT Exempt (*)

📌 Reference: Ref: FOB4-205


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(*) As a training organization, Finance Tutoring benefits from a VAT exemption under Article 261-4-4° of the French General Tax Code (CGI).

Training Description

Legal and Regulatory Framework of Financial Markets

This training program covers the legal and regulatory framework of financial markets, divided into four sections.


The first module examines the fundamentals of financial law, covering key regulations, supervisory authorities, and principles of market transparency and integrity. It also introduces the concept of soft law, illustrating its role in adapting regulations to market developments and the emergence of financial products that challenge the foundations of civil law.


Training Objectives

  • Understand the fundamental principles of the legal and regulatory framework of financial markets.
  • Identify the key regulations and directives applicable to financial markets.
  • Recognize the roles and responsibilities of supervisory authorities and market participants.
  • Differentiate between regulated markets and over-the-counter (OTC) transactions.
  • Grasp the concept of soft law and its impact on the evolution of financial regulations.
  • Analyze the legal and regulatory risks associated with financial products, particularly derivatives.
  • Study real-world cases of financial law disputes and sanctions.

Target Audience

  • Fund Manager
  • Portfolio Manager
  • Wealth Manager
  • Asset Management Assistant
  • Financial Analyst
  • Bank Treasurer
  • Corporate Treasurer
  • Financial Engineer

Training Duration

  • 2 days (14 hours)

Training Program

Legal and Regulatory Framework of Financial Markets

I. Fundamental Principles of the Legal Framework of Financial Markets

  • Sources of Financial Law
  • General Principles of Financial Regulation
  • Key Players in Financial Markets

Case Study:

  • Analysis of a real case of regulatory compliance
  • Impact of new regulations on a market participant

II. Regulations and Applicable Directives

  • European and International Regulations: MiFID II, MAR, EMIR, Basel III
  • Role of Supervisory Authorities: AMF, ESMA, ECB, SEC
  • Soft Law and Regulatory Developments

Case Study:

  • Analysis of a reclassification case of a financial contract
  • Legal implications of a derivative product

III. Distinction Between Regulated and OTC Markets

  • Definition and Key Differences
  • Advantages and Disadvantages of Each Market
  • Impact on Transparency and Liquidity

IV. Financial Securities and Financial Contracts

  • Definitions and Legal Implications
  • Regulation of Financial Instruments
  • Legal Treatment of Derivative Products

Case Study:

  • Analysis of an AMF/ESMA sanction case
  • Decoding a financial law dispute

V. Managing Legal and Regulatory Risks

  • Identifying Risks Related to Financial Products
  • Managing Non-Compliance Risks
  • Legal Framework for Sanctions and Litigation

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