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Financial Regulation and Compliance
2018-2019	FrIESEG School of Management ( IÉSEG )
Code Cours :	1819-IÉSEG-M1S1-FIN-MA-EI84UE	FINANCE

Niveau	Année de formation	Période	Langue d'enseignement
Master	1	S1	FrEnglish

Professeur(s) responsable(s)	R.JOLIET
Intervenant(s)	Mathieu DI PRIZIO

IÉSEG > IESEG Degree - Programme Grande École > Semester 1 > 2,00 ECTS

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

Type	Nombre d'heures	Remarques
Independent study
Estimated personal workload	16,00
Face to face
lecture	16,00
Charge de travail globale de l'étudiant	32,00

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)