Course Description

This course examines supervision as an essential element of securities regulation and a key priority for financial market regulators. The supervisory framework has become an important component of risk management in capital markets. Failure to ensure adequate oversight can have serious consequences, as demonstrated by the global financial crisis, which remains an important reference point for supervisors seeking to strengthen systemic resilience.

Learning Objectives

This course aims to develop a practical understanding of compliance and supervisory frameworks and activities in financial markets, with particular attention to Bangladesh's capital market.

Learning Outcomes

By the end of the course, participants will be able to:

1. Understand regulatory environments and supervisory frameworks.
2. Appraise supervision protocols and procedures.
3. Describe supervisory challenges in domestic and international markets.
4. Assess risks of inadequate supervision.
5. Address supervision challenges within regulated intermediaries.
6. Apply regulatory requirements to real-world scenarios.
7. Evaluate enforcement mechanisms in Bangladesh.

Lecture Schedule

Day 1 – July 3, 2026

• - Lecture 1: Introduction to the Course and the Bangladeshi Regulatory Landscape
• - Lecture 2: The Architecture of Compliance: Laws, Rules, and Ethical Foundations
• - Lecture 3: Deep Dive: The BSEC Corporate Governance Code

Day 2 – July 10, 2026

• - Lecture 4: Intermediaries I: Stock Brokers, Dealers, and Merchant Bankers
• - Lecture 5: Intermediaries II: Asset Managers, Trustees, and Credit Rating Agencies 
• - Lecture 6: Public Offers, Listing, and Disclosure as a Supervisory Tool

Day 3 – July 17, 2026

• - Lecture 7: Ensuring Financial Integrity: Prudential Requirements
• - Lecture 8: Preventing Market Abuse: Insider Trading and Market Manipulation
• - Lecture 9: Enforcement: The Weak Link in Bangladesh's Market?

Day 4 – July 24, 2026

• - Lecture 10: Anti-Money Laundering (AML) and Countering Terrorist Financing (CFT)
• - Lecture 11: Oversight of Collective Investment Schemes: Mutual Funds
• - Lecture 12: Debt Market and Fixed Income Securities
• - Question Answer Session