LAW 628 - Compliance in Financial Institutions

Credits, 1 sem. hrs.

This practical course will explore the role of compliance in financial institutions. It will examine the essential elements of effective compliance programs, the regulatory expectations for banks and investment companies, common issues that challenge compliance, and how to establish adequate monitoring systems. This course is particularly relevant as new laws, rules, and regulations stemming from the financial crisis dramatically affect a wide range of financial institutions. The course is recommended for students who wish to pursue a career in compliance or work for financial institutions, regulatory agencies, or law firms representing clients in the financial industry.

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