Securities Regulation and Capital Market Supervision: Licensing, Inspections and Enforcement – London, 11–15 Jan 2027
Securities Regulation and Capital Market Supervision: Licensing, Inspections and Enforcement runs in London from Monday 11 January to Friday 15 January 2027 (1 Week). The fee is 23,000 SAR per participant. The same programme is also scheduled in 7 other cities.
- Dates
- Length
- 1 Week
- Fee per participant
- 23,000 SAR
- Format
- In person, London
- Venue
- Central London four-star
- Status
- Open for registration
- Week
- 2 of 2027
- Reference
- 965_21860
This session
11–15 Jan 2027
This Securities Regulation and Capital Market Supervision: Licensing, Inspections and Enforcement session in London runs from Monday 11 January to Friday 15 January 2027 (week 2, Q1 2027). It is the 1st of 2 dates in London in 2027, at a fee of 23,000 SAR, the same for each of them. Registration is open for this date. It is held in person at Central London four-star.
When else does it run in London?
- 11 – 15 January 2027 This date 23,000 SAR
- 12 – 16 July 2027 23,000 SAR
How do I book this date?
Register online to request your place, or send us a question about this date first.
Reference for this date: 965_21860. Quote it when you contact us.
Before you book, read our cancellation policy.
Let’s talk about your next step.
Questions about this date
When does Securities Regulation and Capital Market Supervision: Licensing, Inspections and Enforcement in London start and finish?
It starts on Monday 11 January and finishes on Friday 15 January 2027: 1 Week.
How much does Securities Regulation and Capital Market Supervision: Licensing, Inspections and Enforcement in London cost?
The fee for this date is 23,000 SAR per participant. Please read our cancellation policy before you book.
Is this date held in person or online?
It is held in person in London, at Central London four-star.
What does this programme cover?
Securities regulation and capital market supervision fail investors when licensing gates are loose, prospectus reviews miss material gaps, inspections follow a fixed calendar rather than risk, and sanctions arrive too late to deter. This Core Concept course gives securities regulators, market infrastructure staff and intermediary compliance teams a working method to authorise intermediaries, review issuer disclosure, oversee exchanges, clearing houses and depositories, rank firms by risk, plan on-site inspections and choose proportionate enforcement responses. Participants build a Risk-Based Supervision Plan and Inspection Programme for a case brokerage and fund management firm.
The programme outline covers:
- Introduction
- Course Objectives
- Target Audience
- Course Outline
- Day 1: Objectives, Perimeter and Architecture of Securities Regulation
- Day 2: Market Infrastructure Oversight, Licensing and Issuer Disclosure Regimes
- Day 3: Supervising Intermediaries, Investment Funds and Issuer Filings
- Day 4: Risk-Based Supervision, Inspections, Enforcement and Regulatory Cooperation
- Day 5: Case Work: Risk-Based Supervision Plan and Inspection Programme
- Skills You Will Gain
- Why Attend This Course
- Conclusion
Where else does this programme run?
Also scheduled in 7 other cities.
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