3707434: C12_Law of Asset Management

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Semester:SS 14
Art:Vorlesung
Sprache:Englisch
Plansemester:4
Lektionen / Semester:30.0 L / 22.5 h
Selbststudium:67.5 h

Modulleitung/Dozierende

Studiengang

Bachelorstudiengang Betriebswirtschaftslehre (01.10.2008)
Bachelorstudiengang Betriebswirtschaftslehre (01.09.2012)

Beschreibung

I. Introduction to the Law of Asset Management, General Concepts
II. Scope of Asset Management Law & Regulation
III. Types of Regulation: Intermediary, Sales, Product
IV. Intermediary Regulation

    • Fund Manager Regulation (UCITS, AIFMD)
    • Asset Manager Regulation (MiFID)
  • Depositary Regulation

V. Sales Regulation
  • Investor Disclosure & Transparency
  • The KIID / PRIPs
  • The Sales Intermediary
  • Cross-Border Sales and Services

VI. Examples of Product Regulation: UCITS

Kompetenzen

    • Know the basic principles of the law of asset and fund management.
    • Know the scope and basic principles of asset management law.
    • Circumscribe the organization and competences of the financial supervision.
    • Explain the structure and typical application of the different instruments to manage assets.
    • Understand the basic structure of the sources of law.
    • Analyze the specific duties of due diligence in comparison to the competences of the financial supervision.
    • Compare the different methods and legal instruments to manage assets.
    • Create concepts about the establishment and organization of financial intermediaries in the field of asset management.
    • Apply law on specific cases.
    • Know how to find the relevant sources of law (statutes, judgements) and handle the relevant legal databases.
    • Solve practical cases by interpreting the sources of law.
    • Analyze different types of asset management vehicles.
    • Are able to interpret the corresponding sources of law.
    • Seek differences and convergences of instruments to manage assets.
    • Create concepts to establish and organize the different asset management vehicles by interpreting the corresponding sources of law.
    • Decide upon practical cases by interpreting the corresponding sources of law in the scope of financial supervision and the different asset management instruments and entities.
    • Listen carefully to understand and interpret the arguments of the lecturer and fellow students.
    • Interpret arguments and facts during presentations of the lecturer and fellow students and react with critical questions. Improve communication skills by debating their point of view in discussions during the lecture.
    • Learn the need for communication in teams and the difficulties and benefits of working in groups within group work assignments.
    • Have their own proposals for solutions and are able to defend and explain their ideas.
    • Notice their own learning aptitude and willingness to learn new things.
    • Communicate autonomously, reflect their own actions carefully and are able to assess themselves realistically.
    • Assume responsibility because of their self-discipline and flexibility.
    • Stand out due to their enthusiasm, sense of duty and reliability.
    • Advance their enthusiasm and affect their willingness to learn new things.

Lehrmethoden

Lecture

Literatur

- Zetzsche (ed.), The Alternative Investment Fund Managers Directive (2012)
- Birkmose/Neville/Sorensen, The European Financial Market in Transition, 1st ed. 2012, Wolters Kluwer, ISBN: 978-90-411-3360-1
- Wymeersch/Hopt/Ferrarini, Financial Regulation and Supervision: A Post-Crisis Analysis, 1st ed. 2012, Oxford University Press, ISBN: 978-0-19-966090-2

Termine

DatumZeitRaum
19.02.201417:00 - 18:30S1
26.02.201417:00 - 18:30S1
05.03.201417:00 - 18:30S1
12.03.201417:00 - 18:30S1
26.03.201417:00 - 18:30S1
02.04.201417:00 - 18:30S1
09.04.201417:00 - 18:30S1
16.04.201417:00 - 18:30S1
30.04.201417:00 - 18:30S1
07.05.201417:00 - 18:30S1
14.05.201417:00 - 18:30S1
21.05.201417:00 - 18:30S1
28.05.201417:00 - 18:30S1

Prüfungen

  • PWW-BA-12_Law of Asset Management - VO (SS 14, bewertet)
  • PWW-BA-12_Law of Asset Management - VO (WS 14/15, bestätigt)