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FINA8015 - Capital Markets Regulation

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Title:Capital Markets Regulation
Long Title:Capital Markets Regulation
Module Code:FINA8015
 
Credits: 5
NFQ Level:Advanced
Field of Study: Banking, Finance and Investment
Valid From: Semester 1 - 2017/18 ( September 2017 )
Module Delivered in 1 programme(s)
Module Coordinator: CATHERINE MURPHY
Module Author: KIERAN O REILLY
Module Description: This module covers the important concepts and applications in the regulation of capital markets.
Learning Outcomes
On successful completion of this module the learner will be able to:
LO1 Critically Assess the factors that have led to the current market regulatory framework.
LO2 Compare and contrast the regulatory environments that operate in both the capital markets of the United States and Europe.
LO3 Analyse the duties and responsibilities placed by regulations upon the structure and operations of capital market participants.
LO4 Appraise current issues with respect to the implementation of securities laws and regulation of capital markets.
Pre-requisite learning
Module Recommendations
This is prior learning (or a practical skill) that is strongly recommended before enrolment in this module. You may enrol in this module if you have not acquired the recommended learning but you will have considerable difficulty in passing (i.e. achieving the learning outcomes of) the module. While the prior learning is expressed as named CIT module(s) it also allows for learning (in another module or modules) which is equivalent to the learning specified in the named module(s).
No recommendations listed
Incompatible Modules
These are modules which have learning outcomes that are too similar to the learning outcomes of this module. You may not earn additional credit for the same learning and therefore you may not enrol in this module if you have successfully completed any modules in the incompatible list.
No incompatible modules listed
Co-requisite Modules
No Co-requisite modules listed
Requirements
This is prior learning (or a practical skill) that is mandatory before enrolment in this module is allowed. You may not enrol on this module if you have not acquired the learning specified in this section.
No requirements listed
Co-requisites
No Co Requisites listed
 

Module Content & Assessment

Indicative Content
Regulatory Development
History of Regulatory Development both in the Markets of the United States and Europe.
Securities Laws
Current securities laws in the United States and Europe including the 1932 Securities Act (as amended by and including Dodd Frank) and European securities Laws including the application of “Passporting”. The role of regulation in shaping the activities of capital markets participants and the professional bodies including self regulation and good conduct.
Operation and Enforcement
Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Financial Conduct Authority (FCA), European Central Banks including the European Central Bank (ECB) and the role of the professional bodies.
Regulatory Developments
Future direction of Securities laws including the application of Basel II and III on banking entities.
Assessment Breakdown%
Course Work40.00%
End of Module Formal Examination60.00%
Course Work
Assessment Type Assessment Description Outcome addressed % of total Assessment Date
Essay Analyse and Assess the development or application of regulatory provision in capital markets operations. 1,2 40.0 Week 6
End of Module Formal Examination
Assessment Type Assessment Description Outcome addressed % of total Assessment Date
Formal Exam Formal Exam 1,2,3,4 60.0 End-of-Semester
Reassessment Requirement
Repeat examination
Reassessment of this module will consist of a repeat examination. It is possible that there will also be a requirement to be reassessed in a coursework element.

The institute reserves the right to alter the nature and timings of assessment

 

Module Workload

Workload: Full Time
Workload Type Workload Description Hours Frequency Average Weekly Learner Workload
Lecture Formal Lecture 3.0 Every Week 3.00
Directed Learning Study & Applications 4.0 Every Week 4.00
Total Hours 7.00
Total Weekly Learner Workload 7.00
Total Weekly Contact Hours 3.00
Workload: Part Time
Workload Type Workload Description Hours Frequency Average Weekly Learner Workload
Lecture Formal Lecture 2.0 Every Week 2.00
Independent & Directed Learning (Non-contact) Study & Applications 5.0 Every Week 5.00
Total Hours 7.00
Total Weekly Learner Workload 7.00
Total Weekly Contact Hours 2.00
 

Module Resources

Recommended Book Resources
  • Acharya, Cooley, Richardson, Walter 2010, Regulating Wall Street: The Dood Frank Act and the New Architecture of Global Finance, 1st Ed., Wiley [ISBN: 978-0-470-768]
Supplementary Book Resources
  • Georges Ugeux 2014, International Finance Regulation: The Quest for Financial Stability, Wiley [ISBN: 978-1-118-829]
This module does not have any article/paper resources
Other Resources
 

Module Delivered in

Programme Code Programme Semester Delivery
CR_BCAMA_8 Certificate in Capital Markets 1 Mandatory

Cork Institute of Technology
Rossa Avenue, Bishopstown, Cork

Tel: 021-4326100     Fax: 021-4545343
Email: help@cit.edu.ie