Postgraduate Module Descriptor

LAWM112: Financial Markets Law and Regulation

This module descriptor refers to the 2018/9 academic year.


NQF Level7
Credits30 ECTS Value15
Term(s) and duration

This module ran during term 1 (11 weeks)

Academic staff

Dr Joseph Lee (Convenor)





Available via distance learning


This module analyses the legal rights of parties to financial and investment contracts and the UK regulatory system governing the entirety of investment regulation (that is, everything that is neither banking nor insurance) by the Financial Conduct Authority. This module is essential to the practice of finance law in City law firms. It draws on the root principles in the EU Markets in Financial Instruments Directive and other regulation, as implemented in the UK (which remains Europe’s largest investment market). In this module you will cover the conduct of business regulation, financial promotion, and the effect of the global financial crisis. You will analyse problems in the creation of contracts, and liability for wrongs and for breaches of fiduciary duty. You will also analyse mainstream investment, collective investment schemes, and social investment.

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