AF4S998 - Global Financial Services Regulation and Compliance 01 Sep 2019 - 30 Aug 2027 | Version 1
Associated Module Information
| Module Code: | AF4S998 | ||
|---|---|---|---|
| Module Title: | Global Financial Services Regulation and Compliance | ||
| Faculty: | Faculty of Business and Creative Industries | ||
| Faculty Group: | Accounting and Finance | ||
| Faculty Sub Group: | Accounting and Finance | ||
| Module Leader: | Donald Amuah | ||
| Module Team: | Michael Daniels, Jared Davies, Liam Hutchinson | ||
| First Intended Intake: | SEP 2019 | Final Year of Intake: | |
| Date Closed: | |||
| Credit Value: | 20 | Credit Level: | 7 |
| Language: | English | ||
| Percentage of Module Taught in Welsh: | 0 | ||
| Equivalent Module: | |||
| HECOS codes: | 100107 - finance | ||
| HECOS Code Weighting: | 100 | ||
Document Version Information
| Version | 1 |
|---|---|
| Valid From | 01 Sep 2019 |
| Valid To | 30 Aug 2027 |
Module Aims
This module aims to equip students with a knowledge and understanding of the legal, regulatory and ethical frameworks applicable to financial services on a global basis. It also enables students to evaluate regulatory frameworks in differentcountries.
Content Summary
Reasons for regulation
UK regulation: Bank of England, Prudential Regulation Authority (PRA), Financial Conduct Authority (FCA).
EU regulation: European System of Financial Supervision, European Central Bank.
US regulation: Office of the Comptroller of the Currency (OCC), Securities and Exchange Commission (SEC), Financial Industry Regulatory
Authority (FINRA), Commodity Futures Trading Commission (CFTC), Federal Reserve, US Treasury.
Regulation in other countries: Hong Kong, China, Singapore.
Regulation and supervision. Stress testing.
Corporate governance.
Anti-money-laundering and prevention of financial crime.
Complaints and dispute resolution. Ethical issues.
Learning and Teaching Methods
| Activity Type | Hours |
|---|---|
| Lecture | 10 |
| Seminar | 20 |
| Independent Study | 100 |
| Directed Study | 60 |
| Groupwork | 10 |
| Total Hours Selected | 200 |
Learning Outcomes
| # | Learning Outcome |
|---|---|
| LO1 | Able to compare, contrast and evaluate regulation of and compliance requirements of financial services in different countries. |
| LO2 | Able to discuss regulatory and ethical issues relevant to financial services. |
Module Requisites
N/A
Assessment Criteria
| Assessment Category | Assessment Type | Description | Duration | Word Count | Weight (%) | Best of? | Pass Mark |
|---|---|---|---|---|---|---|---|
| Written Assignment (CW) | Literature/Book/Paper Review (CW) 1 | Literature review on an aspect of regulatory or ethical issues relevant to financial services. | 0 | 3000 | 50 | No | 40 |
| Asynchronous Assessment | Presentation (Asynchronous) 1 | Critical evaluation of an issue in financial services regulation including an international comparison based on a chosen real-life case study | 15 | N/A | 50 | No | 40 |
Assessment Matrix
| Assessment Type | Learning Outcomes | ||
|---|---|---|---|
| LO1 | LO2 | ||
| Literature/Book/Paper Review (CW) 1 | ✔ | ✔ | |
| Presentation (Asynchronous) 1 | ✔ | ✔ | |