Postgraduate Module Descriptor

LAWM112: Financial Markets Law and Regulation

This module descriptor refers to the 2017/8 academic year.

Module Content

Syllabus Plan

Whilst the module’s precise content may vary from year to year, it is envisaged that the syllabus will cover some or all of the following topics:


Section 1: Sources of financial regulation

Section 2: The Financial Conduct Authority regime under the Financial Services and Markets Act 2000

Section 3: Conduct of Business regulation

Section 4: Issues in the creation of contracts

Section 5: The nature of financial contracts

Section 6: The liability of financial institutions at common law

Section 7: The liability of financial institutions in equity

Section 8: Taking security and recovering property in financial contracts

Section 9: The nature of investment entities

 Section 10: Communal investment schemes

 Section 11: Unit trusts and collective investment schemes

Learning and Teaching

This table provides an overview of how your hours of study for this module are allocated:

Scheduled Learning and Teaching ActivitiesGuided independent studyPlacement / study abroad

...and this table provides a more detailed breakdown of the hours allocated to various study activities:

CategoryHours of study timeDescription
Scheduled Learning and Teaching Activities33 hours11 x 3 hour seminars. Lecturer-led, three-hour seminars (total of 11). Students will be expected to make at least one presentation during the course.
Guided Independent Study150 hoursPreparation for seminars
Guided Independent Study8 hoursPreparation for and writing of formative essay
Guided independent study109 hoursPreparation for and writing of summative essays

Online Resources

This module has online resources available via ELE (the Exeter Learning Environment).

Journal articles, case law and statutes available through the ordinary legal databases. FCA financial regulation all available free on-line via