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LAW42180 Regulatory Investigations Micro-credential

Overview

Subject Area Law
Credits 10
NFQ 9
EFQ 7
Start Date January 2023
Duration 12 weeks
Mode of Delivery Hybrid
Lead Academic Anthony Kennelly
Fee €1430
Application Deadline TBC

Regulatory investigations are high risk activities. Performing investigations in an informed, professional and suitably risk-managed manner is challenging for the numerous statutory, regulatory and enforcement bodies that are charged with examining breaches of applicable legislative codes and with associated enforcement. It is also a keen interest of inquiry for persons in practice representing individuals and organisations that may be the target of those investigations. This micro-credential explores the rules and practices on performing statutory investigations to the highest professional standards across both civil and criminal realms.

Key topics for analysis include: the regulatory and enforcement architecture in Ireland; the nature and purpose of regulatory investigations; investigative tools; the duties of investigators and those subject to investigation; the process of conducting an investigation, issues of privilege and privacy; information sharing among regulatory and enforcement bodies, the role of technology in investigations; court processes (in both criminal and civil proceedings); and principles of good governance, including statutory reporting obligations.

This micro-credential is taught by leading experts in the area, with extensive experience in academia and practice.

Key Features

This micro-credential will be of particular interest and relevance to:

  • In-house counsel in regulators such as the CEA/Revenue Commissioners/Central Bank of Ireland/ComReg.
  • Practitioners (solicitors in law firms/barristers) with at least 2-5 years’ experience in regulatory investigations/administrative law/public law.
  • In-house counsel in regulated entities, e.g., in the financial services, pharmaceuticals and telecommunications industries.

Learning Outcomes

On successful completion of this micro-credential, learners will be able to:

  • Outline the nature and functions of the various enforcement options at regulator’s disposal.
  • Distinguish between the drivers and manifestations of non-compliance.
  • Critically outline the rules and procedures for conducting regulatory investigations, including the various due process protections in place, demonstrating an awareness of both the value and the problems associated with these mechanisms.
  • Discuss analytically why good governance is so important to ensuring compliance with law and regulation.

Introduction to Investigations

  • The regulatory & enforcement framework in Ireland
  • Nature of non-compliance

The Investigation

  • How investigations commence
  • Purpose of an investigation
  • Investigative tools at Regulators’ disposal
  • Duties of those who are the subject of investigation
  • Investigators’ duties
  • Conduct of an investigation
  • Privilege/Privacy
  • Information sharing amongst regulatory/enforcement bodies
  • Technology in investigations
  • Civil enforcement
  • Criminal enforcement

The Court Process

  • Civil proceedings
  • Criminal proceedings
  • Judicial Review
  • Disclosure/discovery

Principles of Good Governance

  • Directors’ duties
  • Directors’ compliance statements
  • Principles of financial reporting
  • Statutory Reporting Obligations

Benefits for employees of regulatory organisations:

  • Greater understanding of the drivers and manifestations of non-compliance.
  • Greater knowledge of the nature and functions of the various enforcement options at regulators’ disposal.
  • Greater insight into conducting an effective, efficient investigation.
  • Greater knowledge and understanding of the rules and procedures for conducting
  • regulatory investigations, including the various due process protections in place, demonstrating an awareness of both the value and the problems associated with these mechanisms.

Benefits for employees of regulated entities:

  • Greater knowledge of the nature and functions of the various enforcement options at regulators’ disposal.
  • Greater understanding of how to respond to an investigation of their employer,
  • including how to liaise with regulators, how to conduct themselves during
  • unannounced inspections or ‘dawn raids.
  • Greater knowledge of an investigation subject’s legal obligations to cooperate and comply with an investigation.

Benefits for Legal Practitioners

  • Greater knowledge and understanding of the rules and procedures for conducting regulatory investigations, including due process protections and court-led processes.
  • In-house counsel in regulators will be better able to guide the investigation process, assist their colleagues with the conducting of effective investigations and help their organisation avoid procedural and other pitfalls that could undermine investigations.
  • In-house counsel in regulated entities will be better able to respond to regulatory investigations in the initial phases, better able to react effectively in the event of a ‘dawn raid’ or unannounced inspection and better able to instruct their external legal team (if necessary).
  • Practitioners will be better able to advise clients who are the subject of regulatory investigations on how to protect their position and secure the most favourable outcome possible in the circumstances.

A repository of resources will be available to support your learning, and as a UCD student you will have full access to the library. 

This is a 10 ECTS micro-credential and involves approximately 200 hours of learner effort.

Applicants must hold a degree in law or another relevant discipline, including the social and natural sciences. An upper second-class honours Level 8 degree (GPA 3.08), or international equivalent is required.

Applications will also be accepted from those with significant, relevant, practical experience or those with a graduate qualification relevant to the micro-credential.

Applicants whose first language is not English must demonstrate proof of English proficiency as per UCD's minimum English language requirements.

All applications are assessed on a case-by-case basis.

  • Assignment - 70%
  • Presentation - 30%

• Feedback individually to students, post-assessment
• Group/class feedback, post-assessment

This micro-credential is also a module on the UCD Sutherland School of Law’s LLM Criminology & Criminal Justice.

Please note that learners seeking to stack/use ECTS credit gained via micro-credentials for another UCD programme/award, will need to provide documentary evidence that they meet the relevant entry requirements for that programme/award, for example, academic transcripts.

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