Postgraduate Programme and Module Handbook 2025-2026
Module LAW48815: Case Studies in Financial Regulation
Department: Law
LAW48815: Case Studies in Financial Regulation
Type | Tied | Level | 4 | Credits | 15 | Availability | Available in 2025/2026 | Module Cap |
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Tied to | M1KK09 |
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Prerequisites
Corequisites
- None
Excluded Combination of Modules
- None
Aims
- To introduce students to the analysis of real scenarios in financial regulation;
- To enable students to apply the financial principles and regulatory techniques learned during the pre-requisite modules and optional modules in the MSc in Law & Finance;
- To provide a class environment where students can learn from experts and practitioners the practical problems typically found in the day-to-day application of financial regulation to financial institutions and markets;
- To enable students to work in groups to analyse and find solutions to regulatory problems in finance.
Content
- Each class will cover a different case study in financial regulation. Students will be required to read the case's background in advance, which will be discussed and analysed in class. Students will be required to contribute to the discussion to find a regulatory solution to the case.
- Guest lectures by practitioners are an integral part of the module. The module will allow for a lot of flexibility in the choice of topics, which will depend on the availability of guest speakers from financial institutions and law firms and their choice of case.
- Examples of case studies might include:
- The collapse of Northern Rock Bank in 2007
- The merger between UBS and Credit Suisse in 2023
- Issuance of a cryptocurrency derivative
- Issuance of a green bond
- Compliance with financial sanctions or AML sanctions
- A start-up applying for a licence to issue a new online payment app
Learning Outcomes
Subject-specific Knowledge:
- By the end of the module, students will acquire a critical understanding of:
- How financial institutions operate in a constantly evolving regulatory environment
- How to use regulatory principles and rules to solve practical regulatory problems.
- Regulatory forces that shape financial institutions' decisions in financial markets.
- How law and regulation shape the strategic and business decisions of financial institutions and companies
- How regulators think and act
Subject-specific Skills:
- Students will be able to identify the legal and regulatory issues relevant to specific financial market scenarios
- Students will be able to articulate and apply the core principles of financial regulation to solve a specific regulatory problem.
- Students will be able to engage in informed debate and reflect critically on the evolution and application of banking regulation, securities regulation, and other core topics in financial law.
Key Skills:
- Ability to work in teams in the analysis and solution of regulatory problems
- Oral presentation
- Legal drafting
- Advanced research skills
- Advanced writing skills
- Ability to analyse and comment critically on laws, regulations, and policies
Modes of Teaching, Learning and Assessment and how these contribute to the learning outcomes of the module
- The teaching will be based on seminars supported by reading assignments before each seminar to provide a background of the case to be analysed. The readings are selected from journalistic reporting, regulatory reporting, and cutting-edge scholarship in the area.
- The assessment supports the aims of the teaching methods. The summative essay will assess the ability of the students to analyse the subject material, conduct research, and present a structured and articulate argument on the subject.
Teaching Methods and Learning Hours
Activity | Number | Frequency | Duration | Total/Hours | |
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Seminars | 8 | Normally weekly | 2 hours | 16 | |
Preparation and Reading | 134 | ||||
Total | 150 |
Summative Assessment
Component: Summative essay | Component Weighting: 100% | ||
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Element | Length / duration | Element Weighting | Resit Opportunity |
Essay | 3,000 words | 100% |
Formative Assessment:
■ Attendance at all activities marked with this symbol will be monitored. Students who fail to attend these activities, or to complete the summative or formative assessment specified above, will be subject to the procedures defined in the University's General Regulation V, and may be required to leave the University