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COMPGF03 Compliance, Risk and Regulation
|Title||Compliance, Risk and Regulation|
15 Credits/7.5 ECTs
||Donald Lawrence and industry practitioners|
It is highly recommended that students take COMPGS06 Financial Institutions and Markets (or its equivalent) in term 1. Successful completion of Introduction to Securities and Investment run by the Chartered Institute for Securities and Investment is also a suitable prerequisite.
The module aims to familiarise students with what compliance departments do and why they have become a major topic in financial centres and the current and future roles of IT.
Method of Instruction
30 hours of lectures, 5 hours of industry guest speakers
The course has the following assessment components:
Written Examination (2.5 hours, 70%)
Coursework Section (3 pieces, 30%)
To pass this course, students must:
Obtain an overall pass mark of 50% for all sections combined
Crouhy/ Galai/ Mark, ‘The Essentials of Risk Management’, McGraw Hill 2006.
Page last modified on 03 oct 16 17:44