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Foundations of Supervision - FREG806
This unit provides an overview of the history of traditional financial supervision and an overview of Risk-Based Supervision, its implementation and the challenges associated with it. This unit outlines and explains the tools and techniques used for both on and off-site supervision, the difference between "rules" and "principles" based supervision, and the concept of consolidated supervision and the challenges associated with it. It also systematically explains the process for supervising markets and market participants as well as enforcement, including approaches to prosecution, administering fines, statutory management and liquidation.
| Credit Points: | 4 |
| When Offered: | 2013 - Next offered in 2013 |
| Staff Contact(s): | Associate Professor Robert Trevor |
| Prerequisites: |
Admission to MFinReg |
| Corequisites: | |
| NCCW(s): | |
| Unit Designation(s): | |
| Assessed As: | Graded |
| Offered By: | Department of Applied Finance and Actuarial Studies Faculty of Business and Economics |
Timetable Information
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