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Department of Financial & Management Studies (DeFiMS)

Regulation of international capital markets

Course Code:
15PFMC061
Unit value:
0.5
Taught in:
Term 1

This module is designed to familiarise students with the main concepts and definitions in the regulation of financial markets. It will also enable students to differentiate the regulatory environments appropriate to different markets and operating in different regions.

Objectives and learning outcomes of the course

The overall objectives of the course are:

  • To familiarise students with the main concepts and definitions in the regulation of the financial markets
  • To enable students to differentiate the regulatory environments appropriate to different markets and operating in different regions

By the end of the course students will:

  • Have a basic knowledge of regulatory issues in finance
  • Be able to evaluate critically and contrast different regimes of regulation

Method of assessment

Assessment for this course is by one tutorial presentation at 10%; an essay of 4,000 words at 30%; an unseen written examination at 60% of the total grade; all elements except the presentation may be resubmitted

Suggested reading

Readings
  • Blair, William (ed) (2002) Banking and Financial Services Regulation, Butterworths Law
  • Fernan, Ellis (2001) Regulating Financial Services and Markets in the Twenty- First Century, Charles Goodhart Hart Publishing.
  • Friedland, John H (1994) The Law and Structure of the International Financial System: Regulation in the United States, EEC and Japan Westport, Conn. & London: Quorum.
  • Lee, Ruben (2000) What is an Exchange? The Automation, Management and Regulation of Financial Markets Oxford: Oxford University Press.
  • Oditah, Fidelis (1996) The Future for the Global Securities Market: Legal and Regulatory Aspects Oxford: Clarendon Press
  • Steil, Bean (1994, ed.) International Financial Market Regulation Chichester: Wiley.