LAW42180 Regulatory Investigation

Academic Year 2022/2023

The objective of this module is to help learners develop a greater understanding of the objectives, contexts and challenges of regulatory investigations, and to develop skills to make them better equipped to approach them.

In particular, it aims to help learners distinguish between the drivers and manifestations of non-compliance, understand the nature and functions of the various enforcement options, and develop a critical understanding of rules and procedures for conducting regulatory investigations.

The module will consist of lectures and seminars on topics such as the duties of regulated positions and entities, the enforcement powers given to various regulators and the procedural requirements for different types of regulatory investigations. Through interaction with peers and speakers, it will provide a framework for analysing and developing greater understanding of the goals, opportunities and challenges for regulatory investigations in the 2020s.

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Curricular information is subject to change

Learning Outcomes:

On completion of this module, students should be able to:
1. Outline the nature and functions of the various enforcement options at regulator’s disposal.
2. Distinguish between the drivers and manifestations of non-compliance.
3. Critically outline the rules and procedures for conducting regulatory investigations, including the various due process protections in place, demonstrating an awareness of both the value and the problems associated with these mechanisms.
4. Discuss analytically why good governance is so important to ensuring compliance with law and regulation.

Indicative Module Content:

Regulatory Investigations topics as set out above.

INTRODUCTION TO INVESTIGATIONS
The regulatory & enforcement framework in Ireland
Nature of non-compliance

THE INVESTIGATION
How investigations commence
Purpose of an investigation
Investigative tools at Regulators’ disposal
Duties of those who are the subject of investigation
Investigators’ duties
Conduct of an investigation
Privilege/Privacy
Information sharing amongst regulatory/enforcement bodies
Technology in investigations
Civil enforcement
Criminal enforcement

THE COURT PROCESS
Civil proceedings
Criminal proceedings
Judicial Review
Disclosure/discovery

PRINCIPLES OF GOOD GOVERNANCE

Directors’ duties
Directors’ compliance statements
Principles of financial reporting
Statutory Reporting Obligations

Student Effort Hours: 
Student Effort Type Hours
Specified Learning Activities

100
Autonomous Student Learning

101
Lectures

24
Total

225
Approaches to Teaching and Learning:
Active task-based learning;
Peer and group work;
Lectures;
Critical Writing;
Reflective Learning;
Inquiry and Problem-Based Learning;
Debates;
Case-based Learning;
Presentations 
Requirements, Exclusions and Recommendations

Not applicable to this module.


Module Requisites and Incompatibles
Not applicable to this module.
 
Assessment Strategy  
Description Timing Open Book Exam Component Scale Must Pass Component % of Final Grade
Assignment: Summative written assignment, to be followed by oral (viva voce) exam if necessary. Coursework (End of Trimester) n/a Graded No

70
Presentation: Students will be required to give a presentation on a relevant topic to the rest of the group. Throughout the Trimester n/a Graded No

30

Carry forward of passed components
No
 
Resit In Terminal Exam
Autumn No
Please see Student Jargon Buster for more information about remediation types and timing. 
Feedback Strategy/Strategies

• Feedback individually to students, on an activity or draft prior to summative assessment
• Feedback individually to students, post-assessment
• Group/class feedback, post-assessment

How will my Feedback be Delivered?

Students will receive individual feedback on assignments