AUDIT AND REGULATION IN FINANCIAL INSTITUTIONS PROGRAMME COURSE DESCRIPTION

Code	Name of the Course Unit	Semester	In-Class Hours (T+P)	Credit	ECTS Credit
BAY408	AUDIT AND REGULATION IN FINANCIAL INSTITUTIONS	5	3	3	5

GENERAL INFORMATION
Language of Instruction :	Turkish
Level of the Course Unit :	, TYY: + , EQF-LLL: , QF-EHEA:
Type of the Course :	Elective
Mode of Delivery of the Course Unit	-
Coordinator of the Course Unit
Instructor(s) of the Course Unit
Course Prerequisite	No

OBJECTIVES AND CONTENTS
Objectives of the Course Unit:	The aim of the course is to examine the framework of supervision and regulation activities in financial institutions and the public institutions that regulate and supervise financial institutions.
Contents of the Course Unit:	Institutions operating in the financial sector Audit in financial institutions: internal audit, independent audit, public audit Law and other relevant regulations governing the activities of financial institutions Public institutions responsible for the regulation and supervision of financial institutions

KEY LEARNING OUTCOMES OF THE COURSE UNIT (On successful completion of this course unit, students/learners will or will be able to)
Gains information about organizations operating in the financial sector.
Learns the types of audits performed in financial institutions.
Gains information about the laws and other relevant regulations regulating the activities of financial institutions.
Learns the structures and functions of public institutions responsible for the regulation and supervision of financial institutions.

WEEKLY COURSE CONTENTS AND STUDY MATERIALS FOR PRELIMINARY & FURTHER STUDY
Week	Preparatory	Topics(Subjects)	Method
1	-	General introduction, introduction of the course and explanation of the topics to be studied	Lecture
2	-	General information about financial institutions, activities and functions of financial institutions	Lecture
3	-	Promotion of financial institutions in sub-sectors of the financial sector	Lecture
4	-	Types of audit in financial institutions: internal audit, independent audit and public audit	Lecture
5	-	Laws, communiqués and other relevant regulations within the framework of regulation of financial institutions	Lecture
6	-	Banking Law, Capital Market Law and other related regulations	Lecture
7	-	Insurance Law, Non-Bank Institutions Law, Payment Institutions Law and other relevant regulations	Lecture
8	-	MID-TERM EXAM	-
9	-	Public oversight, principles and instruments in the regulation of financial institutions	Lecture
10	-	Banking Regulation and Supervision Agency	Lecture
11	-	Capital Markets Board and Insurance Supreme Board	Lecture
12	-	Central Bank of Turkey and Savings Deposit Insurance Fund	Lecture
13	-	Professional associations and activities of financial institutions	Lecture
14	-	Regulation and supervision of financial institutions in other countries	Lecture
15	-	-	-
16	-	FINAL EXAM	-
17	-	FINAL EXAM	-

SOURCE MATERIALS & RECOMMENDED READING
The presentations in course.

ASSESSMENT
Assessment & Grading of In-Term Activities	Number of Activities	Degree of Contribution (%)	Description	Examination Method

Level of Contribution
0	1	2	3	4	5

KNOWLEDGE
Theoretical
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	Define basic concepts related with banking, insurance and finance.						5
2	Relates the theoretical and practical knowledge in the field to economics, business, law, statistics, accounting and marketing				3

KNOWLEDGE
Factual
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	Relate banking and insurance applications to financial theories, mathematical and statistical methods.			2
2	Relate the information and facts in the field with other social sciences such as law, sociology, philosophy and history.					4

SKILLS
Cognitive
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	Explain the planning and implementation process in banking and insurance transactions.						5
2	Provide solutions for the problems encountered in banking and insurance transactions.						5

SKILLS
Practical
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	Use theoretical and practical knowledge in the field of banking and insurance transactions.		1
2	By analyzing economic data accurately, manage savings and portfolio investments to minimize financial risks.				3

OCCUPATIONAL
Autonomy & Responsibility
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	He/She works as a leader or a team member in a teamwork from the planning of the banking transactions to the implementation and performs the task assigned to them within the team.			2

OCCUPATIONAL
Learning to Learn
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	Gain the basic knowledge necessary for the planning process of banking and insurance activities and human resources performance management.				3
2	Use the computer programs related with field in banking and insurance transactions.		1

OCCUPATIONAL
Communication & Social
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	Cooperate to bring innovative ideas to the stakeholders in the sector using banking insurance-related databases, information and communication technologies.			2
2	Research on scientific, sectoral developments and innovations related to the field with lifelong learning as a principle.					4

OCCUPATIONAL
Occupational and/or Vocational
	Programme Learning Outcomes	Level of Contribution
		0	1	2	3	4	5
1	Analyze financial data related to his / her field.					4
2	Apply knowledge and skills related to his / her field by taking into account his legal, social and ethical responsibilities.					4

WORKLOAD & ECTS CREDITS OF THE COURSE UNIT
Workload for Learning & Teaching Activities
Type of the Learning Activites	Learning Activities (# of week)	Duration (hours, h)	Workload (h)
Lecture & In-Class Activities	0	0	0
Preliminary & Further Study	0	0	0
Land Surveying	0	0	0
Group Work	0	0	0
Laboratory	0	0	0
Reading	0	0	0
Assignment (Homework)	0	0	0
Project Work	0	0	0
Seminar	0	0	0
Internship	0	0	0
Technical Visit	0	0	0
Web Based Learning	0	0	0
Implementation/Application/Practice	0	0	0
Practice at a workplace	0	0	0
Occupational Activity	0	0	0
Social Activity	0	0	0
Thesis Work	0	0	0
Field Study	0	0	0
Report Writing	0	0	0
Final Exam	0	0	0
Preparation for the Final Exam	0	0	0
Mid-Term Exam	0	0	0
Preparation for the Mid-Term Exam	0	0	0
Short Exam	0	0	0
Preparation for the Short Exam	0	0	0
TOTAL	0	0	0