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Financial Regulation and Compliance

2017-2018

IESEG School of Management ( IÉSEG )

Code Cours :

1718-IÉSEG-M1S1-FIN-MA-EI84UE

FINANCE


Niveau Année de formation Période Langue d'enseignement 
Master1S1English
Professeur(s) responsable(s)R.JOLIET
Intervenant(s)Mathieu DI PRIZIO


Pré requis

The student must:
Have a basic knowledge of financial industry (Investement Banking, Asset Management, Brokerage…)
Have a basic knowledge of products and business lines (Capital Market, Corporate Banking, Structured Finance, OTC Market…
Have a basic knowledge of financial company organization (FO / MO / BO and Support Teams : Legal, Compliance…

Objectifs du cours

Know financial regulatory framework: Regulated entities, Regulators (prudential, market), Market Infrastructure
Know key regulations currently in force: Market Abuse, AML, Tax Rules (FATCA, CRS), Volker rule, Derivatives Regulations (EMIR, DFA…)…
Know organizational impact of aforementioned rules on financial companies : the role of compliance, the impact on Front Office customer interaction…
Work in the financial industry under the current "regulatory heavy" environnement

Contenu du cours

Chapter 1 : Financial Regulatory Framework
1 - Regulated Entities
2 - Market and Prudential Regulation
3 - Financial Market Infrastructure
Chapter 2 : Financial Criminality
1 - Market Abuse
2 - Money Laundering / Terrorism financing
Chapter 3 : Client interaction (MiFiD, FATCA, CRS, LAB)
Client knowledge : KYC, KYB, Suitability, Categorisation
Client information : products, risks
Chapter 4 : Financial Compagnies - Regulatory constraints on organization
1 - The Volker rule
2 - The compliance
3 - Global regulatory requirements (controls, process, training)


Modalités d'enseignement

Organisation du cours

TypeNombre d'heuresRemarques
Face to face
lecture16,00  
Independent study
Estimated personal workload16,00  
Charge de travail globale de l'étudiant32,00  

Méthodes pédagogiques

  • Interactive class


Évaluation

The assessment will be based mostly on a final exam. The exam will take the form of Multiple Choice Questionnaire. The questionnaire will require both knowledge and understanding of the course.
Final rating will be then modified based on oral participation of the student (no more than a 10% upgrade can be awared for oral participation - no downgrade for an absence of participation)

Type de ContrôleDuréeNombrePondération
Continuous assessment
Participation16,00110,00
Final Exam
Written exam3,00190,00
TOTAL     100,00




 
* Informations non contractuelles et pouvant être soumises à modification
 
 
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