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COMPLIANCE DEGLI INTERMEDIARI E DEI MERCATI FINANZIARI

Degree course: 
Corso di Second cycle degree in ECONOMICS, FINANCE AND BUSINESS LAW
Academic year when starting the degree: 
2019/2020
Year: 
2
Academic year in which the course will be held: 
2020/2021
Course type: 
Optional subjects
Language: 
Italian
Credits: 
3
Period: 
Second Trimestre
Standard lectures hours: 
20
Detail of lecture’s hours: 
Lesson (20 hours)
Requirements: 

A previous knowledge of fundamentals of Economia dei Mercati Finanziari is recommended

Final Examination: 
Orale

Oral examination

Assessment: 
Voto Finale

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

Convenzionale

Use of slides, additional reference during the lectures, e-learning platform

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Professors

MUNAFO' PASQUALE