Global Finance Compliance ACCT09016

Programme: BA BUFA

Module: Global Finance Compliance (ACCT09016)

Assessment Type: Main Coursework Essay 2024-25 T2

Weighting: 50% of the overall module assessment.

COURSEWORK Essay

Choose a bank listed in London Stock Exchange, and or the Prudential Regulation Authority (PRA) that is also affiliated to the Financial Conducts Authority (FCA). You will use the individually chosen (and approved) bank to examine the extent of implementation of various rules, regulations, policies, etc. which are relevant to the banking industry financial performance and stability, as well as to safeguard the interests of stakeholders and strategic global position of the UK.

The following general structure for the Coursework Essay is followed by all students:

1. Table of contents
2. Introduction
   1. Aims and objectives of the CW Essay including:
      1. Brief background history of the bank of your choice
      2. The plan for the remaining parts of CW Essay i.e., statements of what you are planning to do, in brief. (Max 400 words)(10 marks)
   2. Literature Review
      1. Describe the skeletal contents of each of the legal instruments (regulations, rules, principles, etc.) to demonstrate the extent of your understanding.
      2. Evaluate the implementation of relevant legal instruments by the bank of your choice.

• Write literature review consisting of the skeletal aspect with reference to selected academic journal articles (at least one or two articles), the extent of using training or guidance notes (internal), audio-visual media, etc. to update staff awareness, medium used by the banks to inform banks customers on updates of a instrument(s) being implemented.

1. Any other relevant reference available with the bank of your choice or other libraries can be added or used to supplement e.g.Know-Your-Customer (KYC)practice .Make sure you use proper referencing styles within the text (body) of the CW Essay. There should be a 1:1 correspondence between refence within the text and references included following conclusion and recommendation section (bibliography).(Max 400 words).(25 marks)

4. Main body of the Coursework Essay Choose 2 out of the three areas (A, B, C), below.
5. Identify a case to be analysed from areas related to the following
   1. Managing the Risk of Financial Crime
6. Money laundering - (theory)
7. Terrorist financing - (theory)
8. Summary of policies, procedures, and controls required - (theory)
9. Critical analysis or discussion of a relevant case from the bank of your choice - (application)
10. Identify a case to be analysed from areas related to the following
    1. Ethics, Integrity, and Fairness
11. Ethical standards - (theory)
12. Market integrity - (theory)
13. Fair conduct and dealing (theory)
14. Critical analysis or discussion of a relevant case from the bank of your choice - (application)
15. Identify a case to be analysed from areas related to the following

iii. Governance, Risk Management, and Compliance

1. Corporate Governance (theory)
2. Key Risk types, their application & impacts on the compliance function (theory)
3. Compliance Risks (theory)
4. Critical analysis or discussion of a relevant case from the bank of your choice - (application)(25 marks for each of the 2 sections you have chosen)
   • arks) Any two areas you choose = (Max 800 words).
5. Presentation, Abstracts, Table of Contents, Conclusion and Recommendations, Referencing.

Max words 400(15 marks)

Total Marks Allocated: 100%.

Total words:2000

Instructions:

• Your answer should be in the form of a fully referenced academic essay and should not exceed 2,000 words.
• Refer to the marking schedule on the next page for mark allocation guidance.
• Penalties for late submission apply (see UWS regulations).
• Please refer carefully to the university regulations on Cheating and Plagiarism.
• Aminimum of 10 referencesources are required and will be graded on quality, quantity and accuracy.Minimum of 4 published Journal Articles, minimum of published banks and other professional publications and reports, not more than web-based online references.
• Cite Them Right Harvard (CTR) method of referencing should be used for all submissions. You may wish to refer toPears, R. and Shields, G. (2019) Cite them right: the essential referencing guide. 11th edition. London: Red Globe Press / Macmillan International Higher Education. You can access this text electronically via the librarys one search function.
• This coursework essay should be word processed in Arial font size 12.
• You are required to submit coursework via the Turnitin Dropbox to be setup on the modules Aula page.
• This coursework essay assesses learning outcomes 3, 4 on the module descriptor.

• Students must get approval on the bank they choose for their required assessment, to avoid duplication. This is to take place on or beforeFriday 14^thof March 2025.The Coursework Essay will be available on Aula space by Friday 14/03/2025. The submission due date is on16/04/2025. Make sure you keep date and time for Submission within Turnitin. Avoid a risky rush to submit during the final few hours. I will be closely checking progress each of you make. The remaining tutorials and lectures are also used to cover remaining two chapters that are important to the CW Essay and the Learning outcomes to be assessed vial the CW Essay.

Global Finance Compliance (ACCT09016)

Coursework Essay Term 22024-2025

Proposed Marking Schedule/ Feedback Sheet

Examiner: Dr Kenbata Bangassa Date: 05/03/2025

Moderator: Dr Nasir Kolade Date: 05/03/2025