1. Critically analyse financial theories, concepts and economic models of regulation and compliance in a range of economic contexts

Module Title

Risk, Regulation and Compliance for RKC

Assessment title

Assignment 2 (RKC): Bank risk management and Basel III

Assessed intended learning outcomes

On successful completion of this assessment, you will be able to:

Knowledge and Understanding

1. Critically analyse financial theories, concepts and economic models of regulation and compliance in a range of economic contexts

2. Analyse and critically evaluate the ways in which regulations are adapted in view of specific market culture and consumer behaviour

3. Critically evaluate the role of regulations and compliance in the strategic prevention of systemic risk and contagion and the enhancement of social responsibility and economic sustainability

4. Analyse and critically evaluate the role of central bank and government regulations and compliance requirements in asset risk management and liquidity from international perspectives

Transferable/Key Skills and other Attributes

1. Identify the strategic and operational impact of financial regulations, compliance and risk management

2. Work on their own and with others in analysing and presenting solutions to compliance and risk modelling in the solving of organisational problems and issues in the financial sector

3. Manage their time to meet deadlines in both group discussions and in preparation of in-class activities

4. Develop and enhance research skills and analytical capability for use in an organisational context

Weighting within module

This assessment is worth 50% of the overall module mark.

Task details and instructions

Choosing a specific European bank, and produce a final report covering the following issues:

1. Discuss different types of risks this bank manages. Gather evidence and discuss whether these risks have been sufficiently managed since 2005. (35 marks)
2. Discuss the regulatory relationship and how this has influenced this bank’s risk management. (30 marks)
3. With reference to both micro and macro prudential policy and regulation, critically analyse the impact of the Basel III Guidelines on this bank’s risk management. (35 marks)

An introduction and a conclusion are required. Please use empirical evidence to support your answers and arguments. References are not included in the word limits. The reference style needs to be consistent with university guidance. This is an assignment to be written by each registered on this module. The allowed word count is 3000. Reference is not included in the word count. University rules on late submission apply.

Word count/duration (if applicable)

Word count: 3000 Words (±10%)

After text reference is not included in the word count.