4208928: EM LLM BSL 16: Module 2 - Law of Financial Intermediaries

Beschreibung

Module 2 includes a number of topics ranging from the authorization of financial services providers and professional obligations (eg initial and minimum capital requirements, personal qualifications of persons who effectively conduct the business, legal aspects of risk management and compliance as well as issues of delegating
financial services). All of these subjects will be discussed with a focus on Cross-Border activities, especially those of Liechtenstein, Switzerland, Germany, the United Kingdom, Ireland, Luxembourg, France and the United States. Furthermore, topics such as investor protection and specific corporate governance structures in financial institutions will be covered in this module. Students take part in a case study on the application of these notions to a financial services firm. Participants will also be given an overview of contemporary issues such as financial crime, the challenges of restructuring financial institutions as well as the realities of securities litigation.