Ulster University Business School
Department of Accounting, Finance and Economics
25 January 2022
For full instructions on how to apply for postgraduate short courses, please contact the Centre for Flexible and Continuing Education - FlexEd@ulster.ac.uk
This course provides an understanding of the regulatory compliance issues critical to a role in financial services in the 21st Century.
This module provides an understanding of the regulatory compliance issues critical to a role in financial services in the 21st Century.
In this section
This course aims to:
● Create an understanding of financial regulation and compliance, both domestically and internationally;
● Illustrate the relationship between crime and the need for the regulatory compliance function;
● Explain the key elements to protect consumers from financial crime and mis-selling; and
● Help students make informed ethical and professional judgements in their professional roles in financial services.
Class Test [32%] A multiple choice and short answer on-line class test to assess understanding of core topic areas: The Regulatory Environment and Ethics; Financial Services and Markets Act 2000 and Financial Services Act 2012; and Associated Legislation and Regulation. 60 minutes duration.
Class Test [33%] A multiple choice and short answer on-line class test to assess understanding of core topic areas: European Union Directives; The FCA Conduct of Business Sourcebook/Client Assets; and Complaints and Redress. 60 minutes duration.
Report [35%] A case-study analysis, on an individual-student basis, that will produce a 1,000-word report (up to 10% over the word count will be allowed; however, in submission where the word count is greater than 1,100 words, Ulster University Word Limits Principles and Penalties will be applied). Students will be provided with feedback and model answers on completion of an on-line test. Students will be provided with on-line written feedback normally within two weeks of the online submission of the case-study analysis report. Group-based, formative feedback sessions will be provided, face-to-face or on-line, to highlight general areas of weaknesses and strengths.
Blended online / in person learning.
This course requires attendance in person and online, on Tuesdays from 5:30pm – 9:00pm, starting Tuesday 25 January 2022.
The in person sessions are on the following dates, 25 January 2022, 15 February, 01 March, 05 April and 10 May, on the Belfast Campus and Online in the intervening weeks.
Times and location subject to final confirmation as soon as possible.
A second class honours degree or better from a university of the United Kingdom or the Republic of Ireland, or from a recognised national awarding body, or from an institution of another country which has been recognised as being of an equivalent standard
Applicants whose first language is not English must meet the minimum English entrance requirements of the University and will need to provide recent evidence of this (certified within the last two years).
Most of our courses require a minimum English level of IELTS 6.0 or equivalent, with no band score under 5.5. Trinity ISE: Pass at level III also meets this requirement.
International applicants will also require a short-term study visa. Further information is available at https://www.ulster.ac.uk/international/visa-immigration
The content for each course is summarised on the relevant course page, along with an overview of the modules that make up the course.
Each course is approved by the University and meets the expectations of:
As part of your course induction, you will be provided with details of the organisation and management of the course, including attendance and assessment requirements - usually in the form of a timetable. For full-time courses, the precise timetable for each semester is not confirmed until near the start date and may be subject to change in the early weeks as all courses settle into their planned patterns. For part-time courses which require attendance on particular days and times, an expectation of the days of attendance will often be included in the letter of offer. A course handbook is also made available.
Courses comprise modules for which the notional effort involved is indicated by its credit rating. Each credit point represents 10 hours of student effort. Undergraduate courses typically contain 10- or 20-credit modules and postgraduate course typically 15- or 30-credit modules.
The normal study load expectation for an undergraduate full-time course of study in the standard academic year is 120 credit points. This amounts to around 36-42 hours of expected teaching and learning per week, inclusive of attendance requirements for lectures, seminars, tutorials, practical work, fieldwork or other scheduled classes, private study, and assessment. Part-time study load is the same as full-time pro-rata, with each credit point representing 10 hours of student effort.
Postgraduate Masters courses typically comprise 180 credits, taken in three semesters when studied full-time. A Postgraduate Certificate (PGCert) comprises 60 credits and can usually be completed on a part-time basis in one year. A 120-credit Postgraduate Diploma (PGDip) can usually be completed on a part-time basis in two years.
Class contact times vary by course and type of module. Typically, for a module predominantly delivered through lectures you can expect at least 3 contact hours per week (lectures/seminars/tutorials). Laboratory classes often require a greater intensity of attendance in blocks. Some modules may combine lecture and laboratory. The precise model will depend on the course you apply for and may be subject to change from year to year for quality or enhancement reasons. Prospective students will be consulted about any significant changes.
Assessment methods vary and are defined explicitly in each module. Assessment can be via one method or a combination e.g. examination and coursework . Assessment is designed to assess your achievement of the module’s stated learning outcomes. You can expect to receive timely feedback on all coursework assessment. The precise assessment will depend on the module and may be subject to change from year to year for quality or enhancement reasons. You will be consulted about any significant changes.
Coursework can take many forms, for example: essay, report, seminar paper, test, presentation, dissertation, design, artefacts, portfolio, journal, group work. The precise form and combination of assessment will depend on the course you apply for and the module. Details will be made available in advance through induction, the course handbook, the module specification and the assessment timetable. The details are subject to change from year to year for quality or enhancement reasons. You will be consulted about any significant changes.
Normally, a module will have four learning outcomes, and no more than two items of assessment. An item of assessment can comprise more than one task. The notional workload and the equivalence across types of assessment is standardised.
The class of Honours awarded in Bachelor’s degrees is usually determined by calculation of an aggregate mark based on performance across the modules at Levels 5 and 6 (which correspond to the second and third year of full-time attendance).
Level 6 modules contribute 70% of the aggregate mark and Level 5 contributes 30% to the calculation of the class of the award. Classification of integrated Masters degrees with Honours include a Level 7 component. The calculation in this case is: 50% Level 7, 30% Level 6, 20% Level 5. At least half the Level 5 modules must be studied at the University for Level 5 to be included in the calculation of the class.
All other qualifications have an overall grade determined by results in modules from the final level of study. In Masters degrees of more than 200 credit points the final 120 points usually determine the overall grading.
Figures correct for academic year 2019-2020.
The University employs over 1,000 suitably qualified and experienced academic staff - 59% have PhDs in their subject field and many have professional body recognition.
Courses are taught by staff who are Professors (25%), Readers, Senior Lecturers (20%) or Lecturers (55%).
We require most academic staff to be qualified to teach in higher education: 82% hold either Postgraduate Certificates in Higher Education Practice or higher. Most academic staff (81%) are accredited fellows of the Higher Education Academy (HEA) by Advanced HE - the university sector professional body for teaching and learning. Many academic and technical staff hold other professional body designations related to their subject or scholarly practice.
The profiles of many academic staff can be found on the University’s departmental websites and give a detailed insight into the range of staffing and expertise. The precise staffing for a course will depend on the department(s) involved and the availability and management of staff. This is subject to change annually and is confirmed in the timetable issued at the start of the course.
Occasionally, teaching may be supplemented by suitably qualified part-time staff (usually qualified researchers) and specialist guest lecturers. In these cases, all staff are inducted, mostly through our staff development programme ‘First Steps to Teaching’. In some cases, usually for provision in one of our out-centres, Recognised University Teachers are involved, supported by the University in suitable professional development for teaching.
Figures correct for academic year 2021-2022.
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In this section
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