Navigating International Financial Regulation and Compliance

Dive into our engaging course on International Financial Regulation & Compliance designed to provide you with the critical rules governing two major financial regulation regimes: the UK and EU models. Whether you’re managing financial services or offering legal counsel on financial regulation and compliance, this course empowers you to navigate this evolving area with confidence and expertise.

Course details: 

Explore the fundamental principles established by leading global standard setters in international financial regulation, including the BCBS, FSB, FATF, and IOSCO. You’ll gain valuable insights into how these principles are implemented within the frameworks of UK law and supranational EU regulations, ensuring you have a comprehensive understanding of the regulatory environment that shapes financial practices.

Focus on governance and compliance:

We will place particular emphasis on the governance structures and rules that mandate the establishment of a compliance function as a second line of defense in risk management. You’ll discover how this function collaborates with other critical areas, such as cybersecurity, data protection, and risk management.

In-depth analysis of financial products:

Additionally, the course offers a thorough analysis of key financial products, including securities, bonds, derivatives, and syndicated loans, along with various transaction types. You will examine these products in the context of applicable financial regulations and supervision, gaining insights into how regulatory standards influence their structure, trading, and risk management. This comprehensive exploration will equip you with the knowledge to effectively navigate the complexities of financial instruments in a regulated environment.

You'll benefit from:

• Teaching methods: Engage in case study analysis and collaborative group work to enhance your learning experience.
• Interdisciplinary approach: Gain insights drawn from various faculties, enriching your understanding of financial regulation.
• Flexible learning: Engage in live sessions delivered in a blend of in-person and online formats, designed to accommodate diverse schedules and maximise accessibility.

• Identify, understand, and apply financial regulation: Develop the ability to identify, comprehend, and effectively apply the relevant rules of financial regulation within the UK and EU to your professional roles. This objective ensures you can navigate compliance requirements with confidence in real-world scenarios.

• Governance and risk management: Gain a thorough understanding of the rules and processes necessary to establish robust governance and risk management frameworks in financial services firms, with a particular focus on the banking sector. This aim prepares you to implement best practices that enhance organisational resilience.

• Rationale and structure of financial regulation: Cultivate an understanding of the rationale, structure, and content of financial regulations introduced in the wake of the 2007-2009 Global Financial Crisis. This objective will help you appreciate the lessons learned and the regulatory changes that emerged to safeguard the financial system.

• Recognising the limits of financial regulation: Explore the inherent limitations of financial regulation in the context of dynamic and innovative financial markets. This aim encourages critical thinking about how the evolving nature of finance presents challenges for effective regulation, highlighting the need for adaptability in compliance strategies.

• Application of financial regulation: Demonstrate the ability to identify, understand, and apply relevant rules of financial regulation within the UK and EU to practical roles in financial services, including legal advice.
• Governance and risk management frameworks: Understand and implement the necessary rules and processes to establish effective governance and risk management frameworks in financial services firms, with a focus on the banking sector.
• Insight into regulatory evolution: Develop a comprehensive understanding of the rationale, structure, and content of financial regulations introduced after the 2007-2009 Global Financial Crisis, recognising their implications for current practices.
• Critical evaluation of regulatory limits: Analyse the inherent limitations of financial regulation in the context of dynamic financial markets, encouraging critical thinking about the challenges of effective regulation.
• Comprehensive product analysis: Conduct an in-depth analysis of major financial products, including securities, bonds, derivatives, and syndicated loans, within the framework of applicable financial regulations.
• Collaborative learning experience: Engage in case study analysis and group work, benefiting from an interdisciplinary approach that enhances your understanding of financial regulation.

Course leader 

Dr Michael Meissner is a Lecturer in Financial Law (Education) at The Dickson Poon School of Law. With over 20 years of international experience in financial law and compliance, Michael brings a wealth of practical knowledge to the classroom. He began his legal career at a prestigious Magic Circle firm in New York before advancing to partner roles in leading international law firms in Germany. Additionally, he served as Chief Compliance Officer for a public bank supervised by the European Central Bank.

Dr Meissner is admitted to both the Frankfurt Bar in Germany and the New York Bar. He holds a PhD in Law from Saarland University and an LLM from the University of California, Los Angeles (UCLA) School of Law. Prior to joining King’s College London, he balanced a demanding practical career with teaching roles at esteemed institutions such as London Business School, the University of St. Gallen, and the Chinese University of Hong Kong.

His research interests focus on bank governance and risk management within financial regulation, as well as compliance issues, including the application of artificial intelligence in anti-financial crime measures. Michael’s extensive background and expertise make him a valuable asset to the course and an inspiring leader for participants.

This course offers an interdisciplinary approach, drawing on expertise from faculty members across multiple departments within the university. 

Session breakdown for May 2025

Who is this for? 

This course is designed for mid-to-senior level professionals whose decision-making and team management processes are influenced by financial regulation in the UK and EU. Participants will benefit from understanding the supervisory practices of key regulatory bodies, including the FCA, Bank of England, PRA, European Central Bank, ESMA, and SRB.

While there are no specific entry requirements, we recommend that participants possess at least a bachelor’s degree in business, finance, economics, law, or a related field, along with relevant professional experience. This background will help you engage more effectively with the course material.

Our programmes are conducted in English, so participants must be proficient in both written and spoken English. This proficiency is essential for grasping the complex topics covered in the course and for actively participating in discussions and debates.

How to apply

This course is open for enrolment to everyone. However, we recommend that you review the course overview and learner profile to ensure it aligns with your personal goals and learning needs.

If you have any questions or would like to discuss the course's suitability, please do not hesitate to contact us at ExecEd-Law@kcl.ac.uk. A member of the Programme Team will be happy to assist you.

Frequently asked questions 

If you require further information about the course or Executive Education at The Dickson Poon School of Law, please check out our Frequently asked questions page or contact ExecEd-Law@kcl.ac.uk