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