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Module title: Financial Services Compliance

Module Director: Professor John Ashton

Available Routes:

Elective Module : All Routes

Module Overview

The three units cover the core requirements of understanding the regulatory environment, who and what influences what is done and the role of the regulator, their objectives and methodologies for achieving them. The role of the compliance function / compliance officer, activities, accountabilities and skills required and how they should endeavour to create a compliance culture, an environment where regulatory compliance is understood and actively used to improve a firm’s performance; and finally, how compliance, risk management and corporate governance work as interrelated disciplines to not only provide essential regulatory assurance to the firm, but also to further improve the firm’s overall performance.

Aims & Objectives

Regulatory compliance in financial services is not optional. Therefore it is essential that all senior management understand the impact of the regulatory environment and the consequent opportunities and threats that can arise from this area. This module will provide students with a strategic overview of the UK’s financial services regulatory environment and now regulatory risk should be managed for the benefit of both the firm and the industry.

Key Text

The Changing Face of Compliance: Managing Regulation Risk (1st Edition) Ward, S. - Routledge Taylor & Francis

Means of Assessment

This module is assessed by means of a single mini-project of 3,500 words in length.

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