An Introduction to Regulation

Enhance your understanding of regulation by exploring its fundamental objectives, unravelling the different regulatory frameworks, and analysing the key events that have shaped our regulatory environment today. Created by the subject matter experts within the International Compliance Association this certificate program introduces you to the meaning and objectives of regulation, the rationale behind regulatory structures, and the application of risk-based regulation. Understand the legislative powers of regulators and explore significant national and international laws that apply to the regulated sector. This course is suitable for professionals working in or aspiring to work in compliance, including internal and external audit staff, those working in risk functions and regulatory representatives. Given the level of this qualification, it would be best suited to individuals who are early in their compliance career.

• grasp the meaning of ‘regulation’ and why regulation is in place
• understand the core objectives of regulation
• identify how the risk-based approach to regulation works in practice
• differentiate between the different regulatory structures (or models) and approaches to regulation
• comprehend the core powers granted to regulators by legislation and the main national and international sources of regulation
• appreciate the significance of the key events that have shaped our regulated environment
• recognise the international influences and other factors that shape regulation