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Corporate governance and compliance

Module information>

Academic Direction
UCL, Queen Mary University of London
Modes of Study

It’s only relatively recently that corporate governance and compliance has come to prominence in the business world. Corporate governance is concerned with both the internal aspects of a company and the external aspects.

Compliance is concerned with the process by which an organisation seeks to ensure that employees and other constituents conform to applicable norms. This course will help you understand the driving force behind the development of corporate governance in the last two decades, and the importance of corporate governance to the company itself, to directors and shareholders and other stake holders. The course will also introduce you to the ways in which the compliance function is carried out.

Module A: Governance – legal and regulatory framework


Introduction to corporate governance

  • Corporate governance in the United Kingdom
  • Corporate governance in the United States


Board of Directors

  • Key principles and practicalities
  • Composition and processes

Board committees

  • International overview of board structures


Sarbanes-Oxley requirements

Listing requirements: how capital markets impose corporate governance requirements.

Module B: Compliance


Introduction to compliance

  • Internal enforcement
  • Whistleblowers
  • Self-reporting
  • Regulators
  • Deferred prosecution agreements

Information systems: data privacy, data transfers, offshoring and the cloud

Corporate hospitality

Ethics, responsibility and social culture.

Module C: Bribery and corruption, money laundering and terror financing


Bribery and corruption

  • US Foreign Corrupt Practices Act (FCPA)
  • UK Bribery Act 2010
  • Internationalisation of prohibitions on foreign bribery.

Money laundering

  • UK Proceeds of Crime Act 2002 offences
  • UK Money Laundering Regulations 2017

Terror financing

  • UK Terrorism Act 2000 offences.

Module D: Regulated industries – compliance and risk management in the financial sector


  • Introduction to risk management
  • Approaches to risk management
  • Governance in banks and how poor governance can cause systemic financial crises
  • Fraud within the banking sector.


Each module is assessed by a 45-minute unseen written exam.


It is strongly recommended that you attempt Module A before module B; module B before module C; module B before module D.

How to apply

You can apply to study a module individually as a standalone unit or as part of a Postgraduate Certificate, Postgraduate Diploma or Master of Laws qualification.

These modules also contribute towards the following specialist pathways for Laws:

  •  Banking and Finance
  •  Commercial and Corporate Law
  •  Corporate and Securities Law
  •  Economic Regulation
  •  Financial Services Law
  •  International Business Law

Apply via Postgraduate Laws