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Level 7 Diploma in International Business Law

Enforcement and Comparative Regulatory Powers in Capital Markets

IBL704 · Law and Financial Crimes — Week 5 of 16

CourseIBL704
Week5 of 16
SemesterII
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This week’s topics

Enforcement and Comparative Regulatory Powers in Capital Markets

  1. FCA enforcement powers
  2. Regulatory versus criminal prosecution pathways
  3. Transatlantic cooperation with US SEC/DOJ
  4. Judicial review and administrative sanctions

What you will be able to do

  • 1.3 Evaluate the statutory frameworks and EC context on dealing with insider dealing and market abuse.
  • 1.5 Compare and contrast how market abuse regulations and regulators act against insider dealing and related financial frauds.
  • 4.2 Analyse the EC Market Abuse Directive to control market manipulation and abusive practices.
  • 4.4 Evaluate the role of criminal law in supporting financial regulations in the United Kingdom.

Activity

Seminar, guided reading and a short written task: evaluate the statutory frameworks and EC context on dealing with insider dealing and market abuse.

Study materials

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
  • Corporate Prosecutions · Reading · Cps, 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.
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Course plan
  • Week 1: Theories and Evolution of White-Collar and Financial Crime
  • Week 2: The General Statutory Framework of Fraud and Theft
  • Week 3: Financial Services and Markets Regulation and Civil Offences
  • Week 4: Market Abuse and Insider Dealing Legal Regimes
  • Week 5: Enforcement and Comparative Regulatory Powers in Capital Ma…
  • Week 6: Anti-Money Laundering Architecture and the Proceeds of Crim…
  • Week 7: Terrorist Financing, Bribery, and Corruption
  • Midterm: Midterm evaluation
  • Week 9: Defences and Civil Remedies in Commercial Fraud Litigation
  • Week 10: Compliance, Reporting Obligations, and Suspicious Activity …
  • Week 11: International Cooperation and Extraterritorial Financial Re…
  • Week 12: Applying Law and Financial Crimes 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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