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Critically assess and compare the rules governing securities firms and other financial institutions in key jurisdictions.

Legal Aspects International Financial Regulation - LWMFIN

Title: Answer ONE of the following -

1. The Brexit referendum has raised several questions such as how to regulate a single banking licence, mutual recognition and home country control. It also raised a particular question: how to regulate the EU requirements for equivalence determinations in the financial sector. Critically discuss the various proposals launched to establish common requirements for the recognition of third-country regulatory regimes.

2. FinTech aims to provide clarity and create a shared understanding around rules and data through virtual platforms: rules are transformed into code, automating the process allows regulators to request data and for firms to quickly and simply share it without the need to interpret. Critically discuss.

3. The principles-based regime represents the cornerstone of UK financial and securities regulation strategy and is characterised by broadly-worded high-level principles that regulate entities which are free to operationalise and implement. As such, this regulatory approach is reliant on market discipline in the form of effective monitoring by market players, and reflects the great confidence placed at the time in efficient markets. Critically discuss in the light of the lessons learnt from the global financial crisis.

4. The regulatory framework of CRAs in relation to the reforms adopted in the UK and the EU highlighted a persistent gap in the supervision and enforcement of CRAs’ activities. Although the legislators have improved the monitoring system and increased the disclosure regime, particularly as a result of the direct and intrusive supervisory actions of ESMA in the EU, the business conduct of CRAs has remained unaltered. Critically discuss.

Learning Outcomes: 

Critically assess and compare the rules governing securities firms and other financial institutions in key jurisdictions.

➢ Understand the regulatory processes that bring the law into being. This is much more than a compliance course.

➢ Critically assess the role of central banks from a combined legal and economic perspective.

➢ Explain the role of soft law and self-regulation in banking and finance.

➢ Understand the tools and processes of financial supervision and crisis management.

➢ Explain the relationships between regulated financial institutions and their regulators. 


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