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Module Descriptor

COMPGF03 Compliance, Risk and Regulation

Alt Code(s)
Title Compliance, Risk and Regulation
UCL credits/ECTs
15 Credits/7.5 ECTs
End June
Taught by
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.

Course Aims
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

Recommended Reading

Crouhy/ Galai/ Mark, ‘The Essentials of Risk Management’, McGraw Hill 2006.

Page last modified on 03 oct 16 17:44