LAWSG080 Regulation of Financial Markets
|LAWSG080: REGULATION OF FINANCIAL MARKETS|
|Credit value:||30 credits (15 ECTS, 300 learning hours)|
|Convenor:||Iris H Chiu|
|Other Teachers:||Francisco de la Peña;
|Teaching Delivery:||20 x 2-hour weekly seminars, 10 seminars per term, Term One and Two|
|Who may enrol:||Any UCL Master’s student|
|Must not be taken with:||None|
|Qualifying module for:||LLM in International Banking and Finance Law|
|Introductory video||View introduction video from the module convenor|
|Practice Assessment:||Opportunity for feedback on one optional practice essay per term (two in total)|
|Final Assessment:||One 3-hour unseen written examination (100%)|
The module will examine the regulation of the financial markets, focusing on the public policy and regulatory regime for investment-related matters, ie investment firms, investment funds and some aspects of securities regulation. The focus is on the UK and hence emphasis will be placed on the Financial Services and Markets Act, the Financial Conduct Authority’s rulebook, the FCA Handbook, other legislation for the UK and relevant EU Directives. The module wll be of interest for students who wish to advance their understanding of public policy and compliance in financial services regulation, focusing on the investment markets. The course also features substantial discussion on regulatory theories and institutions, as these underpin the public policy in governing various forms of investments and investment markets. The module has a focus on regulation and hence will not deal with transactional issues in international finance.
Module reading lists and other module materials will be provided via online module pages, once students have made their module selections upon enrolment, and the below are only useful books for reference. Teaching is not structured in accordance with any of the books below, and students should be prepared to consult primary EU and UK legislation, the FCA Handbook, relevant case law, official papers and journal articles, as well as parts of relevant books.