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Global Financial Services Regulation training

Eight microlessons on how financial markets are regulated and why it matters: regulatory systems, conduct, market integrity, individual accountability and the US and Dubai frameworks, with a certificate of completion.

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Introduction to Financial Services Regulation (Global) course preview
8Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • OnlineSelf-paced format
  • 8Microlessons
  • IncludedCertificate of completion
About this course

What the Global Financial Services Regulation course covers

This course explains how financial markets are regulated, and why, in eight microlessons. It covers the core objectives of regulation, how regulatory systems are built, the conduct obligations shared around the world, market integrity, individual accountability, and the frameworks in two key jurisdictions, the US and Dubai.

Learning outcomes

What your people will be able to do

  • Explain the market failures behind regulation, including information asymmetry, conflicts and systemic risk
  • Describe the three objectives of regulation: investor protection, market integrity and financial stability
  • Map how regulatory systems work, from rulemaking to enforcement and international standard setters
  • Compare conduct and prudential regulation, and principles-based and rules-based approaches
  • Identify inside information, insider trading, spoofing and market manipulation
  • Meet your personal compliance obligations across jurisdictions, including suspicious activity reporting
Course contents

8 microlessons

Each microlesson is a short, TikTok-style video lesson.

1Why Financial Markets Need Regulation
2How Regulatory Systems Are Built
3Conduct Obligations: The Universal Core
4Market Integrity: Inside Information and Abuse
5Individual Accountability and Your Personal Obligations
6The US Regulatory Framework
7Conduct, Accountability, and Enforcement in the US
8Dubai's Regulatory Landscape and Personal Obligations

  1. Why Financial Markets Need Regulation: The market failures that regulation is there to fix.
  2. How Regulatory Systems Are Built: Rulemaking, authorization, supervision, enforcement and standard setters.
  3. Conduct Obligations: The Universal Core: The conduct obligations shared by regulators around the world.
  4. Market Integrity: Inside Information and Abuse: Inside information, insider trading and market manipulation.
  5. Individual Accountability and Your Personal Obligations: Your personal compliance obligations, including reporting suspicious activity.
  6. The US Regulatory Framework: How financial regulation is organized in the US.
  7. Conduct, Accountability, and Enforcement in the US: Conduct expectations and enforcement in the US.
  8. Dubai's Regulatory Landscape and Personal Obligations: How regulation works in Dubai and what it means for you.
A 5Mins certificate of completion for Introduction to Financial Services Regulation (Global), lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson. 5Mins then issues a certificate of completion for Introduction to Financial Services Regulation (Global).

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • New joiners in international banks, brokers, asset managers and fintechs
  • Staff who work across more than one jurisdiction
  • Support functions who need to understand how financial regulation works

Laws covered

  • Your regulator's rules. The course explains the principles shared by financial regulators and how systems differ. Your own regulator sets the exact rules.
  • Market integrity rules. Rules against insider dealing and market manipulation exist in every major market. The course explains the common principles.
How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

Compliance teams that swapped chasing for results

Compliance, HR and L&D leaders on what changed when they moved their training to 5Mins. Pick a team to see what changed.

ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
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ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
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ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
See more customer stories
ComplianceCompliance Training Fintech and digital banking On demand

training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
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★ Free sample lesson

See 5Mins in action with a free sample lesson

Interested in Global Financial Services Regulation training? Request a free sample lesson, book a short demo with our team, and we'll share your sample lessons after the call.

  • Real microlessons from our library
  • A short demo with our team
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Free course catalogues

Take the catalogues with you

Free PDF catalogues to share with your compliance lead, your managers or your board.

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Global Financial Compliance Catalogue

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Global Compliance Catalogue

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Your questions answered

Questions about Global Financial Services Regulation training

How long is the Global Financial Services Regulation course?

It's made up of 8 microlessons, each under 5 minutes. Learners can finish it in one sitting or spread it over a few days, and 5Mins sends reminders until it is done.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson. The record is stored in 5Mins for audits.

Which countries does the course cover?

It teaches principles that apply across markets, then looks at the US and Dubai as examples. For UK and EU rules, see Introduction to Financial Regulation (UK) and Introduction to Financial Services Regulation (EU).

Who should take this course?

New joiners in international financial services firms, staff who work across jurisdictions, and support teams who need a foundation.

Is there an assessment?

No. This course is made up of microlessons only. Learners get a certificate of completion when they finish.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

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