Institutions, Regulation and Ethics

Students should have knowledge of the functioning and rules of financial markets, through the UCs with this curricular content.

Lectures of an expository nature, with support in the relevant legal norms and use of audiovisual elements.

The curricular unit intends that students acquire the knowledge that will allow them to master the entire financial regulation and supervision system, as well as its principles and those referring to the governance of societies.

I. The Financial System
a) General Principles
II. The Deontological Rules of the European Federation of Societies of Financial Analysts
III. The CFA Institute Code of Ethics
IV. CMVM Regulation 2/2007
a) General Considerations
b) Rules of Financial Intermediaries
c) Specific Rules for Financial Analysts
V. Regulation and Supervision
SAW. The Corporate Governance
the introduction
b) The International Principles of Corporate Governance
c) The Portuguese reality of Corporate Governance
d) The Sarbanes-Oxley Act
VII. The Government of Banking Companies
the introduction
b) The Basil Committee on Banking Supervision
c) The Basel Accords
1. Minimum capital requirements
2. Supervision review
3. Market discipline
d) Directive 2006/49/EC
VIII. The Portuguese Banking Market
IX. The Markets and Financial Instruments Directive
X. The Bank of Portugal
a) The Code of Conduct
b) The General Regime for Credit Institutions and Financial Companies (RGICSF)
XI. The RGICSF supervision mechanisms.

NAO

• ABREU, Jorge Manuel Coutinho de – Governação das Sociedades Comerciais, Livraria Almedina
• FERREIRA, António Pedro A. – O Governo das Sociedades e a Supervisão Bancária, Quid Juris

• MARQUES, Maria Manuel Leitão e MOREIRA, Vital – A Mão Visível – mercado e regulação, Livraria
Almedina
• MARQUES, Maria Manuel Leitão (e outros) – Concorrência e Regulação, Coimbra Editora
• PINA, Carlos Costa – Instituições e Mercados Financeiros, Livraria Almedina
• SANCHES, J. L. Saldanha – Direito Económico – um projecto de reconstituição, Coimbra Editora