University of Reading: Capital Markets, Regulation and Compliance

InstitutionUniversity of Reading
Department ICMA Centre View department profile
Telephone 0118 378 5289
Study type Taught


This practitioner-oriented Master’s degree provides students with a practical and theoretical foundation for successful careers in risk management, compliance, regulation and allied work streams within the financial services industry.

In this programme, skills are developed through creating a broader understanding of financial firm risk-taking, accountability, governance. The emphasis is on a deep analysis of mainstream and critical authorship. We will challenge current and past thinking on the role of financial institutions and markets. The programme particularly encourages students to examine regulatory structures and concepts in the context of recent and past financial crises.

Students will build the skills and knowledge needed to gain an understanding of financial reform processes and their consequences for markets around the world. Rigorous classroom teaching coupled with extensive reading provides students with a sound theoretical basis. An understanding of substantive legal issues is also developed.

Contributions by industry and regulatory experts introduces students to the nuances of real world application of theoretical constructs. Practical case studies, current legal positions and interactive student discussions or presentations are used in most lectures. In addition legal, academic, practitioner and regulatory input is gained through specialist guest lectures and visits as per the ability of the year-group.

**Key topics**
Some key topics taught within this degree include:
- The causes and consequences of risk-taking – an in-depth understanding of the financial crisis

- Solvency II, Basel, UCITS, company law and corporate governance requirements

- The roles, structure and responsibilities of key regulatory and supervisory bodies including the Basel Committee on Banking Supervision, IAIS, IOSCO, European Systemic Risk Board, SEC, FINRA, UK FSA and its successors, Bank of England and other central banks, EBA, ESMA, EIOPA, BaFin, global, regional and national regulators.

- Risk appetite and the role of the Board of Directors, Chief Risk Officer and Senior Management

- How to build a risk management framework and a compliance plan

- Rationales for regulation and optimal regulatory structures

- Prudential and conduct of business controls

- Stakeholders and the consequences of regulatory and governance failures


University of Reading
Henley Business School


Henley Business SchoolFounded in 1945, Henley is one of the oldest business schools in the UK and part of the University of Reading. We are among an elite group of business schools to be triple-accredited for the quality and capability of our faculty and output.

Henley offers a wide range of postgraduate degrees in six programme areas:

Approach to learning
The Henley approach to learning is a highly respected blend of academic theory and practical ...

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