Institutions, Regulation and Ethics

The curricular unit aims to give the students the knowledge of the supervisory and regulatory systems of the
financial markets, as well as the market principles and corporate governance principles.

I. The Financial System
a) General Principles
II. Regulation and Supervision
III. Corporate Governance
a) Introduction
b) The International Principles of Corporate Governance
c) The portuguese regulation of corporate governance
d) The Sarbanes-Oxley Act
IV. The Governance of Banking Institutions
a) Introduction
b) The Basil Comittee on Banking Supervision
c) The Basil Agreements
1. Minimum financial requirements
2. Supervision revision
3. Market discipline
d) The 2006/49/CE Directive
V. The Portuguese Banking System
VI. The Financial Markets and Instruments Directive
VII. The Bank of Portugal
a) The Code of Conduct
b) The General Rule of Credit Institutions and Financial Societies (RGICSF)
VIII. The supervision mechanisms of the RGICSF

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