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School of Law

SOLM224 Compliance Systems in Practice (Teaching Period B20)

Module Description

Compliance Systems in Practice examines the practical aspects of compliance in banking. The module reflects upon the historical conflicts of interest in banking and explores its underlying principles. It then presents an outline of the general and advisory functions of compliance as they relate to banking. Through a series of case studies the module then offers a broad inspection of the compliance matters emanating in practice.

Applicable Groupings

  • LLM in Banking and Finance Law
  • LLM in Commercial and Corporate Law
  • LLM in Competition Law
  • LLM in International Business Law
  • MSc/Diploma/Certificate in Law and Finance
  • MA/LLM in Regulation and Compliance

Mode of Assessment

3,000-4,000 word essay


15 Credits