Teaching Responsibility

LJMU Schools involved in Delivery:

LJMU Partner Taught

Learning Methods

Online

Module Offerings

7506LAWINF-APR-PAR

Aims

This module aims to critically assess the compliance, supervision and enforcement of law within the financial services industry. This includes exploring the range of regulatory approaches and compliance monitoring processes, as well as the scope of enforcement powers.

Module Content

Outline Syllabus:By completing this module, students are expected to cover the indicative content as follows: Core regulatory principles The conduct of business The supervision process: a. Supervisory visits b. Conduct of investigations c. Enforcement powers Risk profile Performing risk assessment Planning reviews, testing and reporting The regulatory approach to ‘culture’ Role of the compliance officer Developing a risk-based compliance monitoring function
Additional Information:There are no professional body requirements at this stage, however developments will be monitored and where appropriate, incorporated into module content.

Assessments

Essay
Report