Financial Regulation and Ethics module (BU52048)

Learn about financial regulations, banking practices, and ethics.

On this page


Module code


The purpose of establishing financial regulations is to ensure the safety and soundness of the financial system, protect investors, and maintain the integrity of financial professionals. Also, a strong ethical culture will foster investors' trust and lead to robust global capital markets. It benefits both the investors and society.

This module will teach you about financial regulations, banking practices and ethics relating to financial and banking practices.

What you will learn

In this module, you will learn:

  • financial regulation: rationale, strategies, and limits
  • financial system, crisis and regulation in the global context
  • theory of financial markets and banking
  • ethical theory
  • business ethics: insider trading, market manipulation and financial fraud
  • corporate governance
  • the future of banking: sustainability and artificial intelligence

By the end of this module, you will be able to:

  • understand the context and circumstances surrounding financial regulations and banking practices
  • understand the ethical theories and critically evaluate the ethical issues relating to financial regulation and banking practices
  • analyse the causes, consequences and implications of financial failure
  • critically assesses the impact of corporate governance, social and environmental factors and technological developments on banking practice
  • reflect critically on the regulatory and ethical issues involved in financial and banking practices
  • present information from independent research through written essays

Assignments / assessment

The assignments comprise the following:

  • Individual Coursework Assessment One (40%)
  • Individual Coursework Assessment Two (60%)

This module does not have a final exam.

Teaching methods / timetable

All teaching is delivered via lectures.

Week Topics
1 Financial System and Financial Crisis
2 The Goals and Strategies of Financial Regulation
3 Limits of Financial Regulation and Theory of Financial Markets
4 Theory of Banking
5 Ethical Theory; Business Ethics – Insider Trading and Market Integrity
6 Reading Week
7 Business Ethics – Corporate Financial Fraud, Corporate Culture
8 Business Ethics – Corporate Financial Fraud, Corporate Culture
9 Banking Governance, the Future of Banking: Sustainability and Corporate Social Responsibility
10 Financial Technology – the Future of Banking: Artificial Intelligence


This module is available on following courses: