SUBSCRIPTION FOR 1 year

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Financial Regulation in the UK

What you will learn:

  1. Theoretical and public perspectives in investment services and markets regulation
  2. The UK Regulator
  3. UK’s relationship with the EU investment markets
  4. Securities regulation
  5. Market Abuse regulation
  6. Regulation of credit rating agencies
  7. Regulation of investment firms
  8. The regulatory regime for retail investment funds
  9. The regulatory regime for alternative investment fund

US$42 per 365 days

Category:

Product Description

What is Financial Regulation in the UK:

The investment sector is a highly regulated sector, and after the global financial crisis 2007-9, regulatory reforms have ramped up in this sector, resulting in an elaborate system of financial regulation for investment services and firms. 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 international documents.

Why it is important:

The module will 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.

What you will learn:

  1. Theoretical and public perspectives in investment services and markets regulation
  2. The UK Regulator
  3. UK’s relationship with the EU investment markets
  4. Securities regulation
  5. Market Abuse regulation
  6. Regulation of credit rating agencies
  7. Regulation of investment firms
  8. The regulatory regime for retail investment funds
  9. The regulatory regime for alternative investment fund

Target audience:

This course is designed for banking, finance and compliance professionals with an interest in financial regulation. The course provides a detailed overview of the international financial regulatory landscape with a focus on the banking, investment firm and insurance industries.

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