Paper 03: Regulation of Financial Markets

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About Course

The Professional courses are administered at Foundation, Intermediate and Advanced Levels. Each level requires an average of one year, though candidates are advised to provide for an additional one year to meet requirements for internship/ practical experience.

A student must book for a minimum of three papers in a level in any order unless is exempted or has credits.

This course is aimed at persons who wish to qualify and work or practice as investment, securities and financial analysts, portfolio managers, investment bankers, fund managers, consultants on national and global financial markets and related areas.

Course Content


  • Lesson

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Nature, Characteristics and Classifications of Law

Financial Markets regulatory institutions

Regulations of Capital Markets

Financial Markets Intermediaries

Central Securities Depository

Securities Exchange and Clearing Agencies

Investments Funds

Corporate Governance and Conduct of Business of Business Intermediaries

Anti-Money Laundering and Combating the Financing of Terrorism

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past paper

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