Course Overview
This training program provides a thorough understanding of the ethical principles, compliance
requirements, and regulatory frameworks governing the investment banking sector. The course
emphasizes the importance of maintaining ethical conduct in decision-making processes, navigating
complex compliance requirements, and adhering to global regulatory standards. Participants will
explore case studies, learn best practices for regulatory adherence, and understand the consequences
of non-compliance on organizational reputation and operations.

Target Group
 Investment Banking Professionals (Analysts, Associates, and Compliance Officers)
 Risk Managers and Legal Advisors in Financial Institutions
 Senior Executives and Board Members responsible for governance
 Regulators and Auditors overseeing financial institutions
 Financial Analysts, Consultants, and Advisors in regulated industries
 Students and graduates pursuing careers in investment banking, compliance, or risk
management
 Institutional investors, fund managers, and trustees focused on governance
 Individuals preparing for regulatory or compliance certifications

Expected Outcomes
By the end of this course, participants will:
1. Understand the role of ethics in investment banking and its impact on decision-making and
organizational integrity.
2. Gain in-depth knowledge of the regulatory frameworks governing the financial industry,
including MiFID II, Dodd-Frank, Basel III, and the Volcker Rule.
3. Learn about anti-money laundering (AML), counter-terrorist financing (CTF), and other
compliance requirements.
4. Develop skills to identify and manage conflicts of interest in investment banking.
5. Gain insights into the consequences of non-compliance and the importance of fostering a
culture of compliance.
6. Understand the role of technology in compliance management, including RegTech solutions.
7. Learn how to implement effective compliance programs and policies within financial
institutions.
8. Be equipped to handle ethical dilemmas and align business practices with regulatory and
stakeholder expectations.