4907434: Law of Asset Management

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Semester:SS 20
Type:Lecture
Language:English
Scheduled in semester:4
Semester Hours per Week / Contact Hours:30.0 L / 22.5 h
Self-directed study time:67.5 h

Module coordination/Lecturers

Curricula

Bachelor's degree programme in Business Administration (01.09.2012)

Modules

Description

  • Introduction to Law of Financial Markets, General Concepts
  • Scope of Law & Regulation of Financial Markets
  • Types of Regulation: Intermediary, Sales, Product
  • Vertical Regulation (Banks, Fund Manager, Asset Manager, Depositary, Financial Conglomerates, Rating Agencies)
  • Horizontal Regulation (Market Abuse, Data Protection)
  • Sales Regulation (Investor Disclosure & Transparency, KIID/PRIPs, Sales Intermediary, Cross-Border Sales & Services)
  • Product Regulation
  • Regulation and Supervision
  • Impact of Digital Transformation

Qualifications

    • Know the basic principles of the Law & Regulation of Financial Markets.
    • Know the scope and basic principles with respect to vertical regulation.
    • Understand the basic structure of the sources of law.
    • Circumscribe the organization and competences of the financial supervision.
    • Analyze the specific duties of due diligence in comparison to the competences of the financial supervision.
    • Compare the different methods and legal instruments to manage assets.
    • Create concepts about the establishment and organization of financial intermediaries.
    • Apply law on specific cases
    • Know how to find the relevant sources of law (statutes, judgements) and handle the relevant legal databases.
    • Solve practical cases by interpreting the sources of law.
    • Analyze different types of intermediaries.
    • Are able to interpret the corresponding sources of law.
    • Decide upon practical cases by interpreting the corresponding sources of law in the scope of financial supervision and vertical as well as horizontal regulatory instruments
    • Listen carefully to understand and interpret the arguments of the lecturer and fellow students.
    • Interpret arguments and facts during presentations of the lecturer and fellow students and react with critical questions. Improve communication skills by debating their point of view in discussions during the lecture.
    • Learn the need for communication in teams and the difficulties and benefits of working in groups within group work assignments.
    • Have their own proposals for solutions and are able to defend and explain their ideas.
    • Notice their own learning aptitude and willingness to learn new things.
    • Communicate autonomously, reflect their own actions carefully and are able to assess themselves realistically.
    • Assume responsibility because of their self-discipline and flexibility.
    • Stand out due to their enthusiasm, sense of duty and reliability.
    • Advance their enthusiasm and affect their willingness to learn new things

Lectures Method

Lecture

Literature

  • Rüdiger Veil, European Capital Markets Law (published 06-04- 2017)
  • Niamh Moloney, EU Securities and Financial Markets Regulation (3rd edition)
  • Financial Regulation in the EU, Douady, Goulet, Pradier, 2017
  • additional lecture notes provided on Moodle

Exam Modalities

  • written examination

Dates

DatumZeitRaum
18.02.202015:15 - 16:45S4
03.03.202015:15 - 16:45S4
10.03.202015:15 - 16:45abgesagt/cancelled
17.03.202015:15 - 16:45S4
24.03.202015:15 - 16:45S4
31.03.202015:15 - 16:45S4
07.04.202015:15 - 16:45S4
21.04.202015:15 - 16:45S4
28.04.202015:15 - 16:45S4
05.05.202015:15 - 16:45S4
12.05.202015:15 - 16:45S4
19.05.202015:15 - 16:45S4
26.05.202015:15 - 16:45S4

Exams

  • PWW-BA-12_Law of Asset Management - VO (SS 20, bewertet)
  • PWW-BA-12_Law of Asset Management - VO (WS 20/21, bestätigt)
  • PWW-BA-12_FT_Law of Asset Management - VO (SS 21, bewertet)