Law for the Banking Sector
and Capital Markets
Specialised programmes for banks and investment firms covering regulatory compliance, combating financial crime, bank governance and structuring complex credit agreements.
Legal Challenges in the Financial Sector
- Strict compliance: Keeping pace with changing central bank and capital market authority regulations.
- Risk management: Reducing legal exposure in lending and investment operations.
- Fintech: Addressing the legal challenges of digital banks and payments.
Available Programmes (8)
Banking Compliance and Anti-Money Laundering (AML/CFT)
5 daysApplying international standards (FATF) and local legislation to combat money laundering, terrorist financing and tax evasion (FATCA/CRS).
Key topics:
- Due diligence procedures (KYC/CDD) and high-risk customers.
- Red flags and suspicious activity reporting (SAR) mechanisms.
- The role of the Compliance Officer and their legal liability.
Banking Governance and Risk Management (Basel III/IV)
4 - 5 daysApplying the Basel Committee principles for banking governance and risk management to ensure solvency and stability.
Key topics:
- Responsibilities of the board of directors and its committees (risk, audit).
- Managing capital adequacy and liquidity under the Basel accords.
- Stress testing and internal control.
Drafting and Managing Credit Contracts and Guarantees
5 daysLegal aspects of corporate credit facilities, syndicated loans (Syndicated Loans), and collateral management.
Key topics:
- Loan agreement clauses (covenants, events of default).
- Types of bank security (mortgage, guarantee) and their legal enforcement.
- Restructuring distressed debt and the legal aspects of bankruptcy.
Islamic Finance Contracts and Sharia Supervision
4 daysLegal and Sharia structuring of Islamic banking products (murabaha, ijara, sukuk) and the governance of Sharia committees.
Key topics:
- Legal drafting of murabaha and lease-to-own (ijara muntahia bittamleek) contracts.
- Issuing Sukuk and trading them in the financial markets.
- Internal and external Sharia audit.
Capital Markets Law and Listed Companies (IPO)
5 daysLegal regulation of securities, initial public offering (IPO) procedures, disclosure obligations, and mergers and acquisitions (M&A).
Key topics:
- Governance of listed companies and the disclosure and transparency regulations.
- Capital market violations (insider trading).
- Managing and licensing investment funds.
Fintech and Open Banking Legislation
3 - 4 daysThe regulatory framework for fintech companies, digital payments, cryptocurrencies and financial data sharing.
Key topics:
- Licensing in the regulatory sandbox (Regulatory Sandbox).
- Protecting consumers' financial data in cloud services.
- Electronic "know your customer" regulations (e-KYC).
Investigating Financial Fraud and Financial Crime
4 daysMethods of detecting internal and external fraud, embezzlement and financial statement manipulation, and investigation techniques.
Key topics:
- The Fraud Triangle and criminal psychology.
- Fraud through social engineering and the internet.
- Preparing financial investigation reports for use in court.
Banking Secrecy and Financial Data Protection
3 daysBalancing banking secrecy requirements with disclosure requirements to regulatory and tax authorities.
Key topics:
- The legal rules of banking secrecy and their exceptions.
- Exchange of tax information and the impact of the FATCA agreement.
- Protecting customer data in accordance with personal data protection laws.
Banking and Legal Expertise
Our programmes are delivered by legal consultants and former bankers with hands-on experience in the compliance and risk departments of major banks.
Request a Training Proposal (for Banks)
Our banking training team is ready to design solutions tailored to your needs.
For urgent enquiries:
+966 11 244 2210Financial Training Brochure
Contains programme details.
Professional Certificates
CAMS Prep
Anti-Money Laundering
CISI Global
Securities & Investment