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COMPLIANCE IN THE FINANCIAL INDUSTRY

2017-2018

IESEG School of Management ( IÉSEG )

Code Cours :

1718-IÉSEG-MA1S1-FIN-MA-EI93UE

FINANCE


Niveau Année de formation Période Langue d'enseignement 
Master GE1S1English
Professeur(s) responsable(s)J.LEFEBVRE
Intervenant(s)Guillaume de Lamazière


Pré requis

Financial management of banking and financial companies

Objectifs du cours

At the end of the course, the student should be able to:

Understand the fundamental principles of compliance in the financial industry as well as the newest developments in a field that is subject to increasing regulatory pressure. While gaining an understanding of the more-than-ever core role of compliance, the student will also gain an insight of how and why compliance can be used to build a lasting, strong and sound organization.

Contenu du cours

In this course we will discuss the role and day-to-day activities of the compliance function, the skills required for effective compliance officers, as well as the challenges and opportunities of the compliance function. In today’s world, any professional in the financial industry having a good understanding of this critical function will have an edge in a competitive and demanding environment. Key concepts that will be discussed are: the Three Lines of Defense, Conduct Risk, Regulatory Risk vs. Conduct Risk, Role and activities of the Compliance function, Regulatory Management Compliance, Trade Surveillance, Communications Monitoring, Risk Assessment, Compliance Review, Personal Account Dealing, Employee Licensing, Transaction Reporting, Compliance Policy, Investment Guidelines Compliance, Shareholder Reporting, Financial Crime Compliance, Banking Secrecy, Cross-border Compliance, Whistleblowing, Ethics, Culture, and Compliance, Opportunities & Challenges, Big Data & Technology, and Independence among others.


Modalités d'enseignement

Organisation du cours

TypeNombre d'heuresRemarques
Face to face
Interactive class16,00  
Independent study
Group Project20,00  
Estimated personal workload14,00  
Charge de travail globale de l'étudiant50,00  

Méthodes pédagogiques

  • Project work
  • Interactive class
  • Case study


Évaluation

Group project: 60%
Continuous assessment and participation: 40%

Type de ContrôleDuréeNombrePondération
Continuous assessment
Participation0,00040,00
Others
Group Project0,00160,00
TOTAL     100,00




 
* Informations non contractuelles et pouvant être soumises à modification
 
 
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