6880 Principles of Financial Regulation and Compliance ( efterår 2010 - 10 ECTS )
Rammer for udbud
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Uddannelsessprog:
engelsk
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Niveau:
Masters
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Semester/kvarter:
Every semester
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Timer per uge:
3
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Deltagerbegrænsning:
30
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Undervisningssted:
Århus
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Hovedområde:
Det Samfundsvidenskabelige Fakultet
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Udbud ID:
22876
Tid og sted
Tuesday 14.00-17.00 in building 1325, room 128
first lessons in week no. 36
Formål
On completion of the course students should be able to:
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Discuss theories and approaches to Financial Regulation
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Discuss the role of the compliance function and how to identify compliance risk
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Discuss ethics in relation to financial services
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Identify possible conflicts of interest
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Identify possible market abuse and other financial crimes
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Understand the challenges of implementing the Market in Financial Instruments Directive (MiFID).
The aim of the course is for students to gain an understanding of:
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The terminology used in financial services
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Theories of regulation
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The European Directives regulating financial services
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European and American case law regarding financial services
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The consequences of non-compliance.
Indhold
The following themes will be examined:
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Principles of Regulation and Compliance
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European Regulation Evolution
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The Compliance Function in Financial Institutions
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Ethics
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Conflicts of Interest and Specific Conflicts
More specifically we will deal with the:
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Market Abuse Directive (MAD)
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Anti Money-Laundering Directive (AML) and the
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Market in Financial Instruments Directive (MiFID)
and compliance's role in implementing and surveillance of these in a financial institution.
Faglige forudsætninger
No prior knowledge is required other than skills acquired in the Bachelor of Laws degree.
Underviser
Linda Heath
Undervisnings- og arbejdsform
Group tuition and student participation.
English
Litteratur
Cases and literature on the internet. Handouts in class.
Studieordning og bedømmelse
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Mundtlig, bedømt efter 7-skala med ekstern censur
Oral exam - case based
