Financial Regulation and Ethics ACCFIN5012

  • Academic Session: 2023-24
  • School: Adam Smith Business School
  • Credits: 20
  • Level: Level 5 (SCQF level 11)
  • Typically Offered: Semester 2
  • Available to Visiting Students: No

Short Description

The course seeks to develop knowledge and understanding of financial regulation in UK.


One two hour lecture per week for 10 weeks.

Requirements of Entry

Please refer to the current postgraduate prospectus at:

Excluded Courses





Coursework 40%, Examination 60%

Main Assessment In: April/May

Course Aims

The aim of the course is to develop students' knowledge and understanding of the context and circumstances surrounding financial regulations and investment practice currently in force in the U.K/EU and ethical issues relating to investment practice. The module will also equip students' with current developments in the U.K. and with European Directives which have an impact on UK Securities Regulation.

Intended Learning Outcomes of Course

By the end of this programme students will be able to:

■ Gain an understanding of and be able to discuss the rationale for financial and investment regulation and the ethical issues arising thereon

■ Understand and describe the regulatory structure of investment activities in the U.K./E.U.

■ Demonstrate an understanding of the rules and regulations that govern mergers and takeovers; insider dealings and market abuse; collective investment schemes

■ Understand the regulation of market abuses, enforcement and remedies.

■ Discuss in-depth issues involved in corporate governance

■ Reflect critically on the theoretical and ethical issues involved in financial regulation and the practice of investments

Minimum Requirement for Award of Credits

Students must submit at least 75% by weight of the components (including examinations) of the course's summative assessment.