Financial Services Law, Regulation and Compliance - PG Dip
Why study this course?
A stimulating and rewarding course designed for individuals who work in financial services law, regulation and compliance, or who wish to embark on a career in that industry. Modules are written by expert staff with extensive experience, often obtained in professional practice. Teaching on this course is delivered by way of distance learning by Informa and uses a combination of bespoke module handbooks and the integrated use of interactive and communicative media and information technology.
Following the banking crisis, there has been increased need for those involved in the financial services sector to study and understand the regulation of financial services. This course is specifically designed to provide a focused, practical and industry led response to that need. The modules have been designed to be totally relevant to professionals who work in, or wish to embark on, careers within the financial services Industry. The distance learning nature of the course means that it can be accessed conveniently by busy professionals, providing full support to enable you to pursue the course to completion.
The course is a taught by self-study of a comprehensive bespoke module manual and you are encouraged to read from specified case law and legal journals. In addition, each module has an initial lecture podcast with further podcasts and some interactive classes where you are given the opportunity to discuss theoretical issues as well as practical problem solving. You're supported in undertaking online research using electronic law databases as well as the virtual learning environment containing handbooks, lecture notes, weblinks, discussion groups, study skills materials and assessment criteria. You have regular access to module tutors by email to support your studies.
The development of skills for the workplace is also integral to the course. Career management is encouraged through reference to the relevant professional bodies, work experience and careers advice. Guidance and feedback from an individual personal development profile is provided to encourage you to develop and reflect upon key workplace skills, to prepare you for a professional career.
Students who have passed the postgraduate diploma are entitled to enrol for a top-up LLM. This involves writing a research proposal (formative only) and writing a dissertation (maximum 15,000 words) on a relevant topic of their own choice.
These courses are delivered by London Metropolitan University in partnership with Informa UK.
The range of assessment methods to be employed on this course reflects the range of skills required by the discipline of law and the standards expected. They include essays and problem question coursework and multiple-choice tests.
The first four core modules will be assessed together. The content of the remaining four core modules will similarly be assessed together. Each of the option modules will be assessed individually.
You will be required to have:
- an undergraduate degree at 2.2 or above in law or a related qualification from a UK or EU university, or equivalent qualification from a recognised overseas university
- a minimum of 6.5 IELTS with 6.0 in all components is also required from EU and international students or equivalent
Core modules on this course:
- Introduction to the English Legal System
- The City of London and the Development of Financial Services Law
- Operational Risk and Stress Testing for Financial Services Organisations
- Data Protection in Financial Services Organisations
- Global Financial Crime
- The Approved Persons Regime
- Compliance, Supervision and Enforcement
- Financial Services Complaints and the Financial Services Ombudsman
- Marketing Financial Services
- Law and Regulation of Retail Investment Products
- Law and Regulation of Wholesale Financial Markets
- Law and Regulation of Insurance Products
- Law and Regulation of Banking Transactions
- Law and Regulation of Pensions
- Law and Regulation of Alternative Financial Products
"The lecturers are enthusiastic about the course. It has been a worthwhile experience."
This course provides highly specialised knowledge and research skills relevant both to legal practitioners and to those operating more generally within the legal environment of the financial services Industry. It would also assist anyone working in such professions as politics, government, business, work with the law commission, insurance, banking, civil service, local authorities, journalism and media.
How to apply
Use the apply online button to begin your application.
Applications for this course are processed via our partner Informa (you should not apply to the University direct as you can only apply via Informa).
When you apply, you will need to submit proof of your prior qualifications, your CV, a copy of your passport page and the application fee. These can all be uploaded via the online application form.
When to apply
You are advised to apply as early as possible as applications will only be considered if there are places available on the course.