Law of Investment Regulation

Semester Spring
Level 11
Credit Value 10
Module Co-ordinator Tikus Little
Contact Hours Students will have 14 hours of lectures (7 x 2 hour lectures) and 6 hours of seminars (6 x 1 hour seminars). 

The module will be assessed by a class test which is 2 hours in duration and counts for 100%.




To introduce students to the ethics of investment regulation and to examine the aims of self regulation in the context of legal and administrative regulation. Upon completion of the module students will have met learning outcomes from levels I, II and III of the CFA® Program Candidate Body of Knowledge in respect of Ethics and Professional Standards.


Learning Outcomes

Knowledge and Understanding of:

  1. Evaluate the role of self-regulation in the regulation of securities markets.
  2. Demonstrate an understanding of the Ethics, Professional Standards and Codes of the CFA and develop the capacity for ethical reasoning.

Generic Skills:

  • Personal organisation skills
  • Teamwork and public speaking in seminars
  • Written communication

Cognitive Skills:

  • Problem solving
  • Critical reasoning


Division: Accounting & Finance



This module information is representative of what is included in the module in a given year. Details of actual reading, lectures and coursework may vary year to year and will be available at the beginning of the semester.

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