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Level 7 Diploma in Accounting and Finance

Financial Services Regulation and Compliance

AF701 · Investment Analysis — Week 7 of 16

CourseAF701
Week7 of 16
SemesterI
TutorOnline in the course chat

This week’s topics

Financial Services Regulation and Compliance

  1. Prudential regulatory frameworks
  2. Conduct of business rules and market abuse regimes
  3. Cross-border financial governance
  4. Investor protection mechanisms
  5. Financial Risk and Regulation: New Ideas for Reforming Prudential Regulation
  6. Financial Risk and Regulation: Are New International Prudential Authorities Needed?
  7. Regulatory perspectives in financial crises

What you will be able to do

  • 2.1 Explain regulations and procedures used in trading securities.
  • 5.1 Explain laws and regulations controlling the financial services industry.

Activity

Start with this week’s 3 videos, then: Seminar, guided reading and a short written task: explain regulations and procedures used in trading securities.

Study materials

Videos

  • Financial Risk and Regulation: New Ideas for Reforming Prudential Regulation · YouTube · Columbia Business School · 60 min · for registered students
  • Financial Risk and Regulation: Are New International Prudential Authorities Needed? · YouTube · Columbia Business School · 63 min · for registered students
  • Regulatory perspectives in financial crises · YouTube · University of Cambridge Judge Business School · 17 min · for registered students
  • Managing Risk and Behaviour in Financial Markets · YouTube · LSE · 96 min · for registered students
  • BoE Financial Policy Committee, an Experiment in Macro Prudential Management · YouTube · LSE · 60 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
  • Financial Conduct Authority v Macris [2017] UKSC 19 · YouTube · UKSupremeCourt · 7 min · for registered students
  • Asset Land Investment plc and another v The Financial Conduct Authority · YouTube · UKSupremeCourt · 3 min · for registered students

Further resources

  • Financial Services and Markets Act 2000 · Reading · legislation.gov.uk, legislation · for registered students
  • Market abuse (Financial Conduct Authority) · Reading · Other, guidance · for registered students
  • Money and Banking, ch. 11: The Economics of Financial Regulation · PDF · Saylor Academy, textbook chapter; pp. 242–267 · for registered students
Materials marked “for registered students” open in the student portal, which is set up as soon as you receive final acceptance.
Week 6Midterm
Course chat

Admitted students ask questions on this week’s page in the student portal: an AI assistant trained on the course answers first, and during the course’s timetabled classes Connect to your tutor brings your tutor into the chat, who may start a call if needed.

Open this week in the portal
Course plan
  • Week 1: Securities and Asset Classes
  • Week 2: Securities Valuation and Strategic Use
  • Week 3: Market Operations and New Issues
  • Week 4: Global Capital Markets and the London Stock Exchange
  • Week 5: Investment Theories and Market Efficiency
  • Week 6: Taxation and Investment Decision-Making
  • Week 7: Financial Services Regulation and Compliance
  • Midterm: Midterm evaluation
  • Week 9: Investment Risk Assessment and Mitigation
  • Week 10: Client Profiling and Asset Allocation
  • Week 11: Portfolio Management and Performance Evaluation
  • Week 12: Applying Investment Analysis in practice: case studies
  • Week 13: Assignment workshop: research, planning and referencing
  • Week 14: Assignment workshop: drafting, feedback and improvement
  • Week 15: Review and coursework completion
  • Final: Final assessment and submission
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