OUR ACADEMIC DEPARTEMENTS |
Lesson details
COMPLIANCE IN THE FINANCIAL INDUSTRY | |||
2018-2019 | EnIESEG School of Management
(
IÉSEG
)
| ||
Class code : | 1819-IÉSEG-M1S2-FIN-MA-EI93UE | FINANCE |
Level | Year | Period | Language of instruction |
---|---|---|---|
Master | 1 | S2 | EnEnglish |
Academic responsibility | J.LEFEBVRE |
---|---|
Lecturer(s) | Guillaume de Lamazière |
- This class exists in these courses :
- IÉSEG > IESEG Degree - Programme Grande École > Semester 1 > 2,00 ECTS
Prerequisites
Financial management of banking and financial companies
Learning outcomes
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.
Course description
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.
Class type
Class structure
Type of course | Numbers of hours | Comments | |
---|---|---|---|
Independent study | |||
Estimated personal workload | 14,00 | ||
Group Project | 20,00 | ||
Face to face | |||
Interactive class | 16,00 | ||
Total student workload | 50,00 |
Teaching methods
- Case study
- Interactive class
- Project work
Assessment
Group project: 60%
Continuous assessment and participation: 40%
Type of control | Duration | Number | Percentage break-down |
---|---|---|---|
Continuous assessment | |||
Oral presentation | 0,00 | 0 | 15,00 |
Participation | 0,00 | 0 | 40,00 |
Final Exam | |||
Written exam | 0,00 | 0 | 45,00 |
TOTAL | 100,00 |
* This information is non-binding and can be subject to change