6880 Principles of Financial Regulation and Compliance ( efterår 2011 - 10 ECTS )
Rammer for udbud
-
Uddannelsessprog:
engelsk
-
Niveau:
Masters
-
Semester/kvarter:
Every semester
-
Timer per uge:
3
-
Deltagerbegrænsning:
30
-
Undervisningssted:
Århus
-
Hovedområde:
Det Samfundsvidenskabelige Fakultet
-
Udbud ID:
28804
Tid og sted
Tuesday 14-17 in building 1325, room 020
first lessons on the 30th August 2011
Formål
On completion of the course students should be able to:
-
Discuss theories and approaches to Financial Regulation
-
Discuss the role of the compliance function and how to identify compliance risk
-
Discuss ethics in relation to financial services
-
Identify possible conflicts of interest
-
Identify possible market abuse and other financial crimes
-
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:
-
The terminology used in financial services
-
Theories of regulation
-
The European Directives regulating financial services
-
European and American case law regarding financial services
-
The consequences of non-compliance.
Indhold
The following themes will be examined:
-
Principles of Regulation and Compliance
-
European and US Regulation Evolution
-
The Compliance Function in Financial Institutions
-
Compliance Risk
-
Ethics and Corporate Governance
-
Conflicts of Interest and Specific Conflicts
-
Financial Crimes
-
Investor Protection
The following EU Directives will be studied in some depth:
-
Market Abuse Directive (MAD)
-
Anti Money-Laundering Directive (AML) and the
-
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 but the course complements and provides background knowledge for the course Danish Banking Law (6960 Bankret).
Underviser
External lecturer Linda Heath
Undervisnings- og arbejdsform
Group tuition and active student participation with case studies at the end of each session.
English
Litteratur
Compendium available at the book store (Bogformidlingen).
Bedømmelse
Oral exam - case based
