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FINANCIAL MARKET REGULATION FRE 6211/2056 Spring 2009 Tue: 5:30pm-8:11pm Lower Concourse R, 55 Broad Instructor: Raphaele Chappe Email: [email protected] Office Hours: Wednesday 2:00pm-4:00pm Cell 347-328-3192 This course provides an overview of the legal and institutional framework for the financial sector (with a strong emphasis on the U.S., but some discussion of global and emerging markets), with the goal of developing a practical understanding for business decision making. The first segment covers banking market regulation, including specific limitations on banking activities, the Bank Holding Company Act, and international banking developments; the regulation of securities markets and institutions devoted to the trading of securities; and the regulatory framework for other market participants, such as mutual funds, hedge funds, and private equity funds. The second segment of the course focuses on international regulatory capital adequacy requirements, the Basel II framework, and the concept of VaR (Value at Risk) as it is applied in practice Throughout the course, we seek to explore the interplay of regulation (both intended and unintended effects), risk management and the evolution of global modern banking. In light of current market developments, we also seek to develop a critical perspective and discuss potential new approaches to the structure of financial regulation.
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