Financial Markets - Internal Controls, CMA Regulations and Case Studies
4/16/2019 8:30 AM 4/17/2019 1:30 PM

The Institute of Internal Auditors of Lebanon (IIA Lebanon) in collaboration with the Capital Markets Authority (CMA) of Lebanon is organizing a 2-day training on:

"Financial Markets: Internal Controls, CMA Regulations and Case Studies"

April 16 & 17, 2019


The training will be DELIVERED by VOLUNTEERING guest speakers from THE CMA Financial control unit

Topics to be covered include but ARE not restricted to:

  • The modifications that took place to any of the previously issued regulations and topics covered
  • The new CMA regulation relating to the Collective Investment Schemes
  • Offer of securities
  • Case studies relating to trading activities (price manipulation, insider trading, fair dealing) and how such activities should be addressed by the internal audit
  • The importance of applying the highest ethical standards as part and parcel of the corporate governance
  • CMA's Business Conduct and Market Conduct Regulations
  • AML in financial markets

Correspondent relationships (e.g. custodian, brokers): risks for banks and clients (contracts, terms, etc.)

This training will provide an update on CMA’s issued regulations. The objective is to highlight on the internal controls related to the Capital Markets activities, that should be implemented to mitigate operational, financial, and compliance risks.

Who Should Attend
Chief Audit Executives, Audit Managers & Senior Auditors
Chief Risk Officers, Managers & Seniors 
Regulatory Compliance & Legal Officers
Process Owners (Middle Office, Back Office)

April 16 & 17, 2019 from 8:30 a.m. to 1:30 p.m. (The training will be followed by a lunch and an opportunity to ask questions on one to one)

To be distributed in due time

$600 for IIA Members and Non-Members
A discount of 20% will apply for groups of more than 5 attendees

Gefinor Rotana, Beirut

Participants will earn 10 CPE hours

Registration should be done before April 10, 2019

For registration & further information contact (please fill the registration form below)

"Financial Markets: Internal Controls, CMA Regulations and Case Studies"

April 16 & 17, 2019


To confirm, kindly fill in this form and send it back to

Name and Surname 
Work Address 
Office Phone 


  • Payments could be made by check, bank deposit or wire transfer in favor of The Institute of Internal Auditors; Cash payments are not acceptable.
  • Registration and full payment must be received before April 12, 2019 (below are the transfer details); otherwise, the reservation will be cancelled.
    • Kindly process payment to the favor of "IIA - The Institute of Internal Auditors in Lebanon"
    • Byblos Bank - Badaro Branch,
    • IBAN Number for USD Account: LB47003900000002100759836001
  • No Reimbursement of fees for cancellations after April 12, 2019 or in case of no-show.

All the materials that will be delivered and used in this course are subject to copyrights. By registering to this course the participant agrees that course materials shall only be used in connection with the course and are not to be used in whole or in part without prior written consent of IIA Lebanon.

Good Luck!

The Institute of Internal Auditors l Lebanon