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School of Law

SOLM223 Compliance in Global Markets (Sem 2)

Module Description

Compliance in Global Markets examines the nature of compliance risk in various financial markets. The module details the market-making process and presents a broad overview of the regulatory environment. It introduces the core financial products in banking and their purpose. The module then explores financial markets with reference to the provision of compliance advice.

Applicable Groupings

  • LLM in Banking and Finance Law
  • LLM in Compliance and Regulation
  • MSc/Diploma/Certificate in Law and Finance
  • MA/LLM in Regulation and Compliance

Mode of Assessment

3,000-4,000 word essay


15 Credits