LLM Financial Regulation and Compliance

The LLM (Financial Regulation and Compliance) focuses on the law and practice relating to the regulation of investment business in the United Kingdom from the perspective of compliance. The core module on financial regulation and compliance addresses the regulatory and legal environment within which persons authorised to conduct investment business operate. It also focuses on the particular role of compliance in the control and management of primary legal and regulatory risks. It is therefore far more than a programme on compliance. It is taught by practitioners and addresses the practical and problematic issues – including, for example, the personal exposure of compliance officers to legal and regulatory risk and the relevant law and practice to the exposure of financial intermediaries and their advisors to the legal risks, both criminal and civil, in handling other people’s wealth.

This programme is aimed at those either already working in compliance, as a lawyer or compliance officer, those engaged in regulatory and supervisory activities and practicing lawyers – and, of course, those who aspire to becoming such. BPP Law School has been designated by the Chartered Institute for Securities & Investment (CISI) as a centre of excellence in the law of financial regulation and compliance. This means that when you graduate with this LLM you will be eligible for full student CISI membership and will qualify for the award of the CISI Diploma in Investment Compliance* in addition to the LLM.

Your knowledge and skills in financial regulation may, should you wish, be significantly extended by selecting particularly relevant elective modules, including Fraud and Financial Crime, UK Corporate Securities Law, International and Comparative Corporate Securities Regulation, Islamic Finance Law and UK and International Banking Law.

*Subject to passing a CISI administered exam.

Key Information

•Interact with a mix of academics, members of the judiciary and practitioners from various legal systems
•Meet eminent academics, officials, judges and practitioners through our guest speaker programme
•Develop a deep understanding of how the law works in practice
•Enhance your expertise by choosing from at least 14 specialist electives
•Access our specialist legal careers service even before you start your programme
•Opportunities to participate in an international symposium
•Opportunity to get involved in our award-winning Pro Bono Centre offering legal advice
•Study at a ‘Centre of Excellence’ in the field of investment and management, awarded by the Chartered Institute for Securities and Investment (CISI) and gain eligibility for full CISI membership

Is this programme for me?

The LLM (Financial Regulation and Compliance) has been designed by practitioners essentially for those either in or intending to enter the compliance profession. Therefore in considering applications we will take account of any relevant practical experience that candidates have had. The programme is taught by legal and regulatory experts as well as those who have, and in some cases continue, to hold senior positions in compliance. While practically orientated, the programme does, however, place the law and relevant practices in a conceptual context and in particular addresses issues relating to liability much wider than, for example, would arise simply under the Financial Services and Markets Act. There is also a focus on issues relevant to a wide cross-section of commercial law including contract law, agency, sale of goods, and security.

How will I be taught?

To ensure you get the most from your study, modules are taught with a mix of lectures and small group seminars, supported by comprehensive online material. Our lecturers are experts in their relevant subject areas, many having international reputations and current practical experience.

You will receive excellent teaching and support, and will be encouraged to research and study independently with the support of your personal tutor, and when it comes to your dissertation a dedicated supervisor.

Comprehensive learning material can be accessed anytime, anywhere via our virtual learning environment. Most lectures are also available on MP3 and MP4 files.

You can choose to study one year full-time or two years part-time, with the option of two starts in January, and September.