Further Banking Regulations

This course provides participants with an insight into the major regulations and legislation affecting global banks.

It explains the purpose of the laws and regulations, the impact it has on banking operations, and the steps that banks must take to ensure that they comply.


This course is for individuals with a basic understanding of banking, the financial markets and derivatives.

Learning Outcomes

At the end of this course participants should understand:

  • The Dodd-Frank Act
  • The Sarbanes–Oxley (SOX) Act
  • Regulations on derivatives and swaps

Course Content

Dodd-Frank Act

  • Overview of 16 titles
  • Bureau of Consumer Financial Protection
  • Financial Stability Oversight Council
  • Orderly Liquidation Authority

Sarbanes–Oxley (SOX) Act

  • Overview of 11 titles
  • Reporting and governance requirements
  • Public Company Accounting Oversight Board (PCAOB)

US Initiatives to Prevent Future Failures

  • Financial reform legislation
  • Basel III implementation timeline

Regulations on Derivatives

  • Market risk and counterparty credit risk
  • Volatility of CVA
  • Derivative clearing

Regulations on swaps

  • Pre-Lehman derivatives trading
  • G-20 Pittsburgh summit 2009
  • Regulations after Pittsburgh
  • Wrong way risk

Central Counterparty (CCP)

  • Four main UK CCPs
  • CCP margining methodology and eligible collateral
  • CCP clearing member default and CCP failures in history


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Why study with Alpha?

Innovation and creativity born from experience

We are thought leaders in instructional and learning journey design and holistic solution architects. We have extensive finance and investments experience combined with skills application to deliver performance improving results. We develop immersive learning environments that maximize time to productivity, support talent retention and added value to improving quality of hires.

Knowledge Exchange Evangelists

We are focused on mining the embedded organisational intellectual capital for the benefit of the next generation. We create and curate best in class practice gathered from our experience with the leading financial institutions. We design our programmes with the end in mind – what results are you trying to achieve with this intervention? What metrics will we set ourselves to achieve that?

Generation Proof

Quality and innovation, using current market and industry best practices, have made us a trusted partner in delivering dynamic and motivating training for the financial and capital markets. Our programmes are generation proof and responsive to evolving learner needs and styles. Our solutions use a multi-stakeholder engagement strategy that expands beyond relationships between the learner and learning provider. We create connections with managers, peers and the wider business to drive impactful return on investment..

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The team are so friendly and pleasant to work with, everyone is very professional and keen to help us. Building a relationship over the past couple of years helps us to feel like the Alpha team are even more able to understand our needs and provide more proactive solutions.
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