This week’s topics
Regulatory Architectures and Statutory Frameworks
- Prudential regulatory mandates
- Conduct of business supervision
- Basel capital adequacy standards
- Anti-money laundering controls
- Financial Risk and Regulation: The Current State of Play Under Dodd-Frank and Basel
- Chapter 4 - Money Laundering - Legal Services - SQE1
- Capital Adequacy
What you will be able to do
- 3.2 Explain the main features of legislation and regulation to control the financial services industry.
Activity
Start with this week’s 3 videos, then: Seminar, guided reading and a short written task: explain the main features of legislation and regulation to control the financial services industry.
Study materials
Videos
- Financial Risk and Regulation: The Current State of Play Under Dodd-Frank and Basel · YouTube · Columbia Business School · 51 min · for registered students
- Chapter 4 - Money Laundering - Legal Services - SQE1 · YouTube · SQE1window · 12 min · for registered students
- Capital Adequacy · YouTube · Marginal Revolution University · 7 min · for registered students
- Unweaving the Anti Money Laundering and Counter Terrorist Financing System - Dr Dionysios S Demetis · YouTube · Gresham College · 61 min · for registered students
- Global and Regional ESG Regulations and Standards – Implications for the Financial Services Industry · YouTube · CFA Institute · 58 min · for registered students
Further resources
- Financial Services and Markets Act 2000 · Reading · legislation.gov.uk, legislation · for registered students
- Money and Banking, ch. 11: The Economics of Financial Regulation · PDF · Saylor Academy, textbook chapter; pp. 242–267 · for registered students
- FCA Handbook: Financial Crime Guide (FCG) · Reading · Other, guidance · for registered students
Materials marked “for registered students” open in the student portal, which is set up as soon as you receive final acceptance.
