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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.

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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.

Enroll now

What's inside

Learning objectives

  • Upon completion of this course, participants should be able to:
  • 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

Traffic lights

Read about what's good
what should give you pause
and possible dealbreakers
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
Suitable for individuals who are early in their compliance career
Teaches the meaning and objectives of regulation, the rationale behind regulatory structures, and the application of risk-based regulation
Introduces you to the meaning and objectives of regulation, the rationale behind regulatory structures, and the application of risk-based regulation

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Reviews summary

Foundational overview of regulatory principles

According to learners, this course provides a solid foundational understanding of regulation, making complex concepts accessible and easy to digest. Many highlight its effectiveness for early career professionals or those transitioning into compliance roles, praising the clear structure and well-paced, bite-sized modules. Students particularly appreciate the course for clarifying the rationale behind regulation and explaining different regulatory structures. While highly effective as an introduction, some more experienced learners found certain sections too basic. A recurring suggestion for improvement involves including more practical examples or specific case studies to complement the theoretical content. Overall, it is highly recommended for building a strong base in regulatory principles.
Content is organized logically and presented clearly.
"The content was clearly structured and easy to digest, making complex topics accessible..."
"The modules are bite-sized and well-paced, making it easy to fit into a busy schedule."
"I liked the structure and the quizzes helped reinforce learning."
Perfectly suited for new or early career compliance professionals.
"Highly recommend for early career professionals."
"As someone transitioning into a compliance role, this course was exactly what I needed."
"It feels more suited for absolute beginners."
"This course is well-designed for beginners in regulation."
Establishes a comprehensive base for regulatory understanding.
"This course provided an excellent foundation for understanding the regulatory environment."
"As someone transitioning into a compliance role, this course was exactly what I needed. ... This course sets a strong foundation."
"It covers all the core objectives and structures without getting bogged down in excessive detail. Overall, a valuable starting point."
"It's a solid starting point for anyone entering the field or needing a broad understanding of regulatory principles."
Some found the course dry; potential for more engagement or recent content.
"I found this course quite dry and largely theoretical. ... I think it needs some updates to be more relevant to today's fast-changing regulatory landscape."
"It's a decent intro, but felt a bit too academic at times. ... could benefit from more interactive elements."
"My only minor critique is that some of the examples felt a little generic."
More theoretical than practical, potentially too basic for experienced learners.
"For me, with some prior experience in a related field, I found some sections a bit too basic and repetitive."
"I was hoping for more practical application or recent developments in regulation, but it stuck to very general principles."
"I was hoping for more emphasis on practical skills rather than just theory."
"While it serves its purpose as an introduction, I would have liked more practical examples or case studies..."

Activities

Be better prepared before your course. Deepen your understanding during and after it. Supplement your coursework and achieve mastery of the topics covered in An Introduction to Regulation with these activities:
Review the fundamentals of risk management
Refresh your understanding of risk management concepts to strengthen your foundation for this course.
Browse courses on Risk Management
Show steps
  • Review the major concepts of risk management
  • Read articles and case studies on risk management
  • Complete an online course or tutorial on risk management
Create a compilation of relevant regulations and legislation
Compile a collection of regulations and legislation to aid your understanding and give practical context to the course content.
Browse courses on Regulations
Show steps
  • Identify key regulations and legislation relevant to your work
  • Download or print copies of these documents
  • Organize the documents in a folder or binder for easy reference
Create a mind map of different regulatory structures
Create a visual representation to organize and deepen your understanding of regulatory structures.
Show steps
  • Brainstorm a list of different regulatory structures
  • Create a mind map and add the structures as main branches
  • Add sub-branches for the key features of each structure
Four other activities
Expand to see all activities and additional details
Show all seven activities
Identify the core powers granted to regulators by legislation
Test your understanding of the powers granted to regulators through practice questions and exercises.
Show steps
  • Find practice questions or exercises on regulatory powers
  • Read the questions carefully and identify the key concepts
  • Apply your knowledge to answer the questions
Learn more about the risk-based approach to regulation
Explore tutorials and articles to expand your knowledge of the risk-based approach to regulation.
Show steps
  • Search for tutorials on risk-based regulation
  • Follow the steps in the tutorial to learn about the concepts
  • Reflect on how the concepts apply to your own work
Develop a case study on a specific regulatory issue
Apply your knowledge to a real-world scenario by developing a case study and exploring potential solutions.
Browse courses on Case Studies
Show steps
  • Identify a specific regulatory issue that you want to focus on
  • Research the issue and gather information from various sources
  • Develop a case study that describes the issue, the challenges, and potential solutions
Contribute to a project related to regulatory compliance
Get hands-on experience by contributing to open source projects in the field of regulatory compliance.
Browse courses on Regulatory Compliance
Show steps
  • Find an open source project related to regulatory compliance
  • Read the project documentation and identify a way to contribute
  • Make a pull request or submit a code contribution

Career center

Learners who complete An Introduction to Regulation will develop knowledge and skills that may be useful to these careers:

Reading list

We've selected 50 books that we think will supplement your learning. Use these to develop background knowledge, enrich your coursework, and gain a deeper understanding of the topics covered in An Introduction to Regulation.
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Against the Gods
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Project Manager's Spotlight on Risk Management
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Strategic Risk Mangement
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Strategic Risk Mangement
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Fraud Analytics Using Descriptive, Predictive, and...
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Focuses on using various data analytics techniques, including descriptive, predictive, and social network analysis, for fraud detection. It provides a deeper dive into the analytical methods used in fraud examination. This more technical book suitable for those with a strong interest in data analytics.
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Artificial Intelligence in Accounting and Auditing
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Data Analytics for Accounting
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Blind Spots
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A foundational text in behavioral ethics, this book explores the concept of 'bounded ethicality' and why well-intentioned people can still make unethical choices. Understanding these psychological aspects is crucial for building effective compliance programs that address human behavior. provides valuable background knowledge for anyone in the compliance field.
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Principles of External Auditing
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Principles of External Auditing
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Principles of External Auditing
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Principles of External Auditing
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Reconceptualising Corporate Compliance
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Takes a more academic approach to corporate compliance, examining it through the lens of behavioral psychology and legal theory. It is valuable for deepening understanding of the complexities and challenges of achieving true compliance beyond a tick-box mentality. Suitable for graduate students and researchers interested in the theoretical aspects of compliance.
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How to Have a Wildly Successful Career in Compliance
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Focusing on the practical aspects of the compliance professional's role, this book provides actionable advice and insights into developing essential skills like influence and persuasion. It's highly relevant for those looking to understand the day-to-day realities and necessary competencies for a successful career in compliance. is more focused on the 'how-to' and is excellent for aspiring and current compliance officers.
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How to Have a Wildly Successful Career in Compliance
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Cover image
Introduction to Regulation and Governance
Save
Provides a concise introduction to the fundamental concepts and theoretical frameworks of regulation. It is an excellent starting point for those new to the topic, offering a clear overview of its historical evolution and current practices. This useful resource for high school and early undergraduate students.
Introduction to Regulation and Governance
Paperback
$$

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Effort
1 to 2 hours per week for 4 weeks
Level
Introductory
Via
edX
Institution
International Compliance Association
Language
English
Transcript
English
Traffic lights
Read about what's good
what should give you pause
and possible dealbreakers
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
Suitable for individuals who are early in their compliance career
Teaches the meaning and objectives of regulation, the rationale behind regulatory structures, and the application of risk-based regulation
Introduces you to the meaning and objectives of regulation, the rationale behind regulatory structures, and the application of risk-based regulation
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