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Part Mr. Kronfellner: Banking Supervision and International bank Regulation



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Regulation of Financial Markets and Institutions


Part Mr. Kronfellner: Banking Supervision and International bank Regulation 

Banking Supervision and process of regulation setting 

Recent pitfalls of poor banking supervision incl. financial crisis

CRD II (Basel II) 

CRDIII (Basel II.5) & CRR/CRDIV (Basel III) 

Future CRR II / CRD V (Basel IV) 

Introduction and Regulation of Cryptocurrencies 

EMIR and Counterparty Credit Risk

MiFiD 

Dodd-Frank

FinTechs Regulations 

Explanation and Regulations of cryptocurrencies/NFTs/DeFi 

TLAC / MREL 

Current trends in corporate governance structures and the allocation of responsibilities

Introduction to of Sarbarnes-Oxley and its organizational impact

Problems resulting from poor governance (organizational perspective) 
Part Mr. Auer:: Corporate Governance and Compliance 

Corporate governance and codes around the world 

Governance regulation 

The impact of the UK Corporate Governance Code and Stewardship Code on the treasury function

Financial offences

Compliance with sanctions

Governance regulation including Sarbanes-Oxley (SOX) 

UK corporate governance code

Problems resulting from poor governance (legal perspective) 

Other corporate governance codes
Bibliography
Two lecture notes (one from Mr. Auer and one from Mr. Kronfellner) 
(See also section "optional bibliography" for further academic books and papers)
Optional bibliography
Abedine, Buser, Golebiowska, Kronfellner, Mogul, Buser, Vallabhaneni, Wagner; How to deal with 
cryptocurrencies, BCG & WC White Paper Publication, January 2020 
Blair M., Walker G. and Willey S.: Financial Markets and Exchanges Law, Oxford University Press, current 
edition 
Bank for International Settlements: Minimum capital requirements for market risk, BIS publication, January 
2019 (rev. February 2019) 
Bohn, A., Buser, M., Kronfellner, B., Schneeberger, S., Suess, S.: FRTB: Default Risk Charge, Risikomanager 
03/2017 Edition 
Bohn, A., Buser, M., Kronfellner, B.: Adjusting to the P&L attribution test in FRTB, RISK. 2017 
Carpenter, J., 2000, Does Option Compensation Increase Managerial Risk Appetite?, 
Journal of Finance, Vol. 55, pp. 2311-31 
Gleeson S.: International Regulation of Banking: Capital and Risk Requirements, Oxford University Press, 
current edition 
Ferran E. et al The Oxford Handbook of Financial Regulation (Oxford Handbooks in Law); Oxford University 


9/20/22, 3:02 PM
Lehrveranstaltungsbeschreibung
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Press
Kokkinis, A.; Miglionico, A.: The Role of Bank Management in the EU Resolution Regime for NPLs, Journal of 
Financial Regulation, Volume 6, Issue 2, 20 September 2020, Pages 204–232, 
Kronfellner, B. at al.: Getting Ahead in the new Curve of Reference Rates, Risikomanager 10/2018 
Mallin C.: Corporate Governance (6th edition), 2018, Oxford University Press 
Moloney N.: EU Securities and Financial Markets Regulation, Oxford University Press, current edition 
Mogul, Z; Kronfellner, B., et all: How Banks can succeed with Cryptocurrencies, BCG Perspectives, 2020 
(https://web-assets.bcg.com/e4/ee/793e01364af79789bf26c5690b36/bcg-how-banks-can-succeed-with-
cryptocurrency-nov-2020.pdf)
Nicolo, D. G, and M. L. Kwast, 2002, Systemic Risk and Financial Consolidation: Are They 
Related?, IMF, Journal of Banking and Finance, Vol. 26, Issue 5, pp. 861-880

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