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QLLM378 Securities Regulation (Sem 2)

Module description

This module examines the law and regulation of conduct of business/market conduct aspects of financial intermediation seeing from the angle of investor protection in primary and secondary capital markets. It covers a wide range of issues including the reform of the regulation of financial intermediation in the aftermath of the 2008 credit crisis, conduct of business rules, financial mis-selling, market abuse, the regulation of credit rating agencies, hedge funds regulation, and the regulation of financial resilience. The module covers policy issues, statutory materials and case law. UK regulation is examined within the context of EU law and regulation. Where appropriate specific themes are discussed with reference to international harmonization initiatives and/or comparative analysis with parallel developments in the US. The module also places emphasis on the practical problems, which arise in capital markets and consider ways in which these may be addressed in the future.

Prerequisites

None

Applicable Groupings

Mode of Assessment

2.15 hour written examination

Credits

22.5 credits

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