Regulation and Compliance

Program Overview

This part-time Regulation and Compliance Short Course from Ulster University provides 15 credit points and covers critical issues in regulatory compliance within financial services. Through coursework assessments, students gain knowledge of relevant legislation, ethics, and practical applications to navigate the regulatory landscape effectively. The course aims to equip professionals with the skills to protect consumers, make ethical judgments, and prevent financial crime.

Program Outline

Outline:

• Course Content: The course delves into the critical issues pertaining to regulatory compliance in the contemporary financial services landscape.
• Structure:
• Part-time study format.
• On-campus attendance required every Tuesday from 5:30 pm to 9:00 pm during Semester 1, starting on 26th September 2023.
• Schedule subject to change.
• 15 credit points awarded upon completion.
• Modules:
• The Regulatory Environment and Ethics (32%)
• Assessed through a multiple-choice and short-answer online class test.
• Covers core topics such as:
• Regulatory environment
• Ethical considerations in financial services
• Financial Services and Markets Act 2000 and Financial Services Act 2012 (33%)
• Assessed through a multiple-choice and short-answer online class test.
• Explores relevant legislation and regulations.
• Associated Legislation and Regulation (35%)
• Evaluated through a 1,000-word report analyzing a case study.
• Focuses on additional legislation and regulations within the financial services domain.
• European Union Directives
• The FCA Conduct of Business Sourcebook/Client Assets
• Complaints and Redress

Assessment:

• 100% Coursework:
• Class tests (32% + 33%)
• Case study report (35%)

Teaching:

• Lectures: Expected for modules with high lecture-based content.
• Seminars: Likely included in the curriculum
• Tutorials: Potential component of the teaching approach.
• Approach:
• Emphasis on application of knowledge and understanding of regulatory compliance issues.

Other:

• The course aims to equip students with the knowledge and skills to:
• Navigate the regulatory compliance landscape in financial services.
• Understand the relationship between crime and regulatory compliance.
• Protect consumers from financial crime and mis-selling.
• Formulate ethical and professional judgments in financial services roles.
• Start date: 26th September 2023.
• Fees:
• Northern Ireland, Republic of Ireland and EU Settlements Status: £559.95
• England, Scotland, Wales and the Islands: £559.95
• International: £1,320.00
• Contact: Email: FlexEd@ulster.ac.uk, Telephone: (+44) 028 9536 7199

Northern Ireland, Republic of Ireland and EU Settlements Status Fees:

£559.95 www.ulster.ac.uk/finance/student/tuition-fees-payments

Additional mandatory costs

It is important to remember that costs associated with accommodation, travel (including car parking charges) and normal living will need to be covered in addition to tuition fees. Where a course has additional mandatory expenses (in addition to tuition fees) we make every effort to highlight them above. We aim to provide students with the learning materials needed to support their studies. Our libraries are a valuable resource with an extensive collection of books and journals, as well as first-class facilities and IT equipment. Computer suites and free Wi-Fi are also available on each of the campuses. Students choosing a period of paid work placement or study abroad as a part of their course should be aware that there may be additional travel and living costs, as well as tuition fees.