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Curricular information is subject to change
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.
Regulatory Investigations topics as set out above.
INTRODUCTION TO INVESTIGATIONS
The regulatory & enforcement framework in Ireland
Nature of non-compliance
How investigations commence
Purpose of an investigation
Investigative tools at Regulators’ disposal
Duties of those who are the subject of investigation
Conduct of an investigation
Information sharing amongst regulatory/enforcement bodies
Technology in investigations
THE COURT PROCESS
PRINCIPLES OF GOOD GOVERNANCE
Directors’ compliance statements
Principles of financial reporting
Statutory Reporting Obligations
|Student Effort Type||Hours|
|Specified Learning Activities||
|Autonomous Student Learning||
Not applicable to this module.
|Description||Timing||Component Scale||% 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||
|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||
|Resit In||Terminal Exam|
• Feedback individually to students, on an activity or draft prior to summative assessment
• Feedback individually to students, post-assessment
• Group/class feedback, post-assessment
Students will receive individual feedback on assignments