Assessment method:
50%: a written paper (8/10 pages)
50%: oral test based on the programme in the syllabus


On march the 28th, only for the students attending at least 70% of the course, there’s going to be a written text on the issues explained during the lectures; those passing the written text are going to be exempted from those issues at the final oral exam.

Mid Term Written Test: Programme

  1. Introduction: EU Securities and Markets Regulation after the FinancialCrisis (Moloney, 1-48)
  2. Law Making, Supervision and Enforcement (Moloney 854-1025)
  3. Capital-raising Process, Regulation, and the EU. Prospectus Directive (Moloney 49-127)
  4. Investment Firms and Investment Services. The Authorization Process. Prudential and Conduct Requirements. (Moloney 320-419)
  5. Trading Venues. Regulated Markets. Multilaterale Trading Facilities. Systematic Internalizers. Organized Trading Facilities. OTC Segment.(Moloney 425-555)
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