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Financial Market Law
Engineering & Social Sciences Program
Madrid, Spain
Dates: 8/28/22 - 12/23/22
Financial Market Law
OVERVIEW
CEA CAPA Partner Institution: Universidad Carlos III de Madrid
Location: Madrid, Spain
Primary Subject Area: Finance
Other Subject Area: Law
Instruction in: English
Course Code: 13781
Transcript Source: Partner Institution
Course Details: Level 400
Recommended Semester Credits: 3
Contact Hours: 42
Prerequisites: Commercial Law
DESCRIPTION
PART I
1. FINANCIAL MARKETS LAW
1.1 APPROACH TO FINANCIAL MARKETS LAW
1.2 FINANCIAL MARKETS LEGAL SOURCES
2. NATIONAL FINANCIAL MARKET SUPERVISORY AUTHORITIES
2.1 BANK OF SPAIN
2.2 NATIONAL SECURITIES MARKET COMMISSION
2.3 THE DIRECTORATE-GENERAL FOR INSURANCE AND PENSION FUNDS (DGSFP)
2.4 SECURITIES REGISTRY, CLEARING AND SETTLEMENT SYSTEM
2.5 FUND FOR ORDERLY BANK RESTRUCTURING (FOBR/FROB)
2.6 EUROPEAN SYSTEMIC RISK BOARD (ESRB)
PART II
3. SAVERS/ISSUERS
3.1 SAVERS
3.2 ISSUERS
PART III
4. SECURITIES MARKETS
4.1 THE MARKETS
4.2 SECURITIES SETTLEMENT, STANDARDS OF CONDUCT AND MARKET ABUSE
4.3 SECURITIES MARKET LAW. INVESTMENT OPERATORS
4.4 SECURITIES UNDERWRITING CONTRACTS
PART IV
5. CREDIT MARKETS I. INSTITUTIONS AND OPERATORS
5.1 CREDIT INSTITUTIONS
5.2 OTHER FINANCIAL OPERATORS
6. CREDIT MARKETS II. COMMERCIAL AND BANKING CONTRACTS
6.1 BANKING AGREEMENTS
6.2 OTHER BANKING AGREEMENTS
PART V
7. INSURANCE MARKETS
7.1 FINANCIAL MARKET INSURANCE PARTICIPANTS
7.2 INSURANCE INTERMEDIATION ACTIVITIES
7.3 INSURANCE CONTRACTS
7.4 PENSION PLANS AND PENSION FUND
1. FINANCIAL MARKETS LAW
1.1 APPROACH TO FINANCIAL MARKETS LAW
1.2 FINANCIAL MARKETS LEGAL SOURCES
2. NATIONAL FINANCIAL MARKET SUPERVISORY AUTHORITIES
2.1 BANK OF SPAIN
2.2 NATIONAL SECURITIES MARKET COMMISSION
2.3 THE DIRECTORATE-GENERAL FOR INSURANCE AND PENSION FUNDS (DGSFP)
2.4 SECURITIES REGISTRY, CLEARING AND SETTLEMENT SYSTEM
2.5 FUND FOR ORDERLY BANK RESTRUCTURING (FOBR/FROB)
2.6 EUROPEAN SYSTEMIC RISK BOARD (ESRB)
PART II
3. SAVERS/ISSUERS
3.1 SAVERS
3.2 ISSUERS
PART III
4. SECURITIES MARKETS
4.1 THE MARKETS
4.2 SECURITIES SETTLEMENT, STANDARDS OF CONDUCT AND MARKET ABUSE
4.3 SECURITIES MARKET LAW. INVESTMENT OPERATORS
4.4 SECURITIES UNDERWRITING CONTRACTS
PART IV
5. CREDIT MARKETS I. INSTITUTIONS AND OPERATORS
5.1 CREDIT INSTITUTIONS
5.2 OTHER FINANCIAL OPERATORS
6. CREDIT MARKETS II. COMMERCIAL AND BANKING CONTRACTS
6.1 BANKING AGREEMENTS
6.2 OTHER BANKING AGREEMENTS
PART V
7. INSURANCE MARKETS
7.1 FINANCIAL MARKET INSURANCE PARTICIPANTS
7.2 INSURANCE INTERMEDIATION ACTIVITIES
7.3 INSURANCE CONTRACTS
7.4 PENSION PLANS AND PENSION FUND