Compliance in Financial Institutions

This innovative course will explore the crucial role of compliance in financial institutions. It will examine the essential elements of effective compliance programs, the regulatory expectations for investment advisers and investment companies, how to create a culture of 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. This class is highly recommended for students who are contemplating careers in financial institutions, in regulatory agencies, or in law firms that work with financial institutions. It is also relevant for those who are thinking about careers in compliance outside of the financial industry.
(added 4/11; updated 1/13)

Course Information
Course #: LAW 165
Program: JD
Course Type: JD Elective
Area of Study: Business and Corporate Law, Financial Services Law and Compliance, Law, Government and Regulation
Credit Hours: Two credit hours.