COMPLIANCE DEGLI INTERMEDIARI E DEI MERCATI FINANZIARI
- Overview
- Assessment methods
- Learning objectives
- Contents
- Bibliography
- Delivery method
- Teaching methods
- Contacts/Info
A previous knowledge of fundamentals of Economia dei Mercati Finanziari is recommended
Oral examination
Provision of an overview of (i) the main aspects concerning national and European regulatory frameworks in relation to the financial market activities undertaken by financial intermediaries and (ii) their impact on related business / organizational models. Use of real examples to identify and analyze specific supervisory issues on investment services and activities
1. Overview of national and European regulatory frameworks
2. Investment services and activities: main issues from a supervisory point of view
3. Focus on financial products issued and distributed by financial intermediaries
4. “Product governance” and “product intervention”: a brief description
Slides;
Legislative Decree no. 58/98 (“Consolidated Law on Finance”)
Consob Regulation no. 11971/99 (the “Issuer Regulation”)
Consob Regulation no. 16190/2007 (the “Intermediary Regulation”)
Consob Regulation no. 16191/2007 (the “Market Regulation”)
Further documents provided and/or suggested by the lecturer
Use of slides, additional reference during the lectures, e-learning platform
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Borrowed from
click on the activity card to see more information, such as the teacher and descriptive texts.