LW7112 - Professional Conduct and Financial Services

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What will I learn on this module?

You will learn the concept of outcomes focussed regulation and in particular the mandatory Solicitors Regulation Authority Principles. You will understand how to identify and apply the Principles and the Code of Conduct relating to work likely to be encountered by trainee solicitors. Through this module you will understand the organisation regulation and ethics of the legal profession, alongside knowledge of how the Code of Conduct requires interaction with the regulator and with others.

You will also learn the legislation relating to money laundering and the regulation of financial services, including understanding the financial services framework.

How will I learn on this module?

This module will be partly taught through lectures and workshops specifically on professional conduct. Professional Conduct will be embedded throughout the core modules, Business Law and Practice, Property Law and Practice, and Wills and Administration of Estates. You will also have to refer to the professional conduct elements from Civil Dispute Resolution and Criminal Processes, you will be provided with a reminder lecture on this area. Professional Conduct also arose in the context of Student Law Office.

How will I be supported academically on this module?

The University will support you in learning with an excellent library and teaching materials, access to on-line databases and resources. The module will have a dedicated eLP site which includes the learning materials and links to outside resources. The core modules will also support you in identify and applying the professional conduct rules to specific legal issues.

What will I be expected to read on this module?

All modules at Northumbria include a range of reading materials that students are expected to engage with. The reading list for this module can be found at: http://readinglists.northumbria.ac.uk
(Reading List service online guide for academic staff this containing contact details for the Reading List team – http://library.northumbria.ac.uk/readinglists)

What will I be expected to achieve?

Knowledge & Understanding:
By the end of the module you will:

Understand the Principles in the Code of Conduct as well as the legislation relating to money laundering and the purpose and scope of financial services regulation.

Intellectual / Professional skills & abilities:
By the end of the module you will:

Be able to identify professional conduct issues and apply your in depth knowledge and understanding of the Code of Conduct and financial provisions relating to money laundering to complex client problems.


Personal Values Attributes (Global / Cultural awareness, Ethics, Curiosity) (PVA):
By the end of the module you will:

Be able to independently identify and find appropriate sources of information on financial services whilst also developing an awareness of the ethics involved in being a lawyer.

How will I be assessed?

Formative assessment: oral feedback in the module workshop and online feedback will be provided. Oral feedback will also be provided through the core modules.

Summative assessment will be through a MCQ supervised assessment covering all the practice subject areas (Business Law & Practce, Property Law & Practice, Criminal and Civil Litigation (Criminal Processes and Civil Dispute Resolution), and Student Law Office).

Pre-requisite(s)

None

Co-requisite(s)

None

Module abstract

On this module you will have the opportunity to learn how outcomes focussed regulation relates to the legal profession, as well as recognising circumstances encountered in practice where suspicion of money laundering should be reported. You will also cover the scope of financial services regulation and recognise when financial services issues arise. This module is a mandatory SRA requirement for exempting you from the Legal Practice Course.

Course info

UCAS Code M100

Credits 0

Level of Study Undergraduate

Mode of Study 4 years full-time

Department Northumbria Law School

Location City Campus, Northumbria University

City Newcastle

Start September 2020

Fee Information

Module Information

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