Business and Financial Services module (LW50103)

Learn about the provision and regulation of financial services. You will also learn about the wider business environment that these legal practices operate in

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Module code


In law, Business and Financial Services relate to legal matters and regulations governing business and financial sector activities. Legal professionals ensure businesses and financial institutions operate within legal boundaries. They also handle legal aspects of transactions and disputes in this sector.

This module considers the regulatory framework for the provision of financial services. The module also looks at:

  • methods of investments
  • mortgages
  • insurance
  • pension planning
  • and the concept of risk

What you will learn

In this module, you will:

  • learn about the regulatory framework for the provision of financial services. This includes investment protection, complaints procedures, and compensation
  • explore the variety of typical business structures, matters of partnership and limited liability, and alternative business structures
  • learn how to advise clients about basic investment decision making. Also looking at matters such as the concept of risk, flexibility, portfolio planning, and charging structures
  • learn about tax implications of investments
  • learn about the general economic environment. You will also learn about the context against which advice should be considered
  • explore the ethical difficulties that can arise in the provision of financial services

Assignments / assessment

  • coursework (90%)
  • professional attributes (10%)
    • includes attendance at and participation in tutorials

There will be three separate pieces of coursework, each worth 30%. The emphasis within these is on giving advice in case study scenarios.

This module does not have a final exam.

Teaching methods / timetable

This module will be delivered through a combination of lectures and tutorials.

Lectures will be used to present information and structure learning, with some interaction. Tutorials will allow you to take part in small group work and student-led discussion.


This module is available on following courses: