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Special Topics A: Licensing and Governance - AFCP959
This unit considers the licensing for financial institutions. It defines 'control' and outlines the triggers for supervisory intervention, as well as its limits and responsibilities. It examines agency theory, how it can be applied to financial institutions, addresses the role of incentives and how conflicts of interest should be addressed. The unit also presents the international models of good governance and outlines the guidance on governance offered by the international regulatory agencies. It outlines the appropriate organisational structure and governance framework for financial institutions, as well as the three lines of defence principle. It also explains how regulators supervise governance.
| Credit Points: | 2 |
| When Offered: | TBD - Not offered in the current year; next offering is to be determined |
| 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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