Course Details

Financial Institution Compliance

The course is recommended for students contemplating careers in financial institutions, in regulatory agencies, or in law firms that work with financial institutions and those considering careers in compliance outside of the finance industry. The course has both a practical and conceptual side. On the practical side, it covers both established regimes (FCPA, AML, broker-dealer, investment adviser, and banking regulation) and emerging regimes (ESG regulation and regulation of cryptoassets and virtual asset service providers) and their associated compliance and risk management expectations. On the conceptual side, students learn to negotiate the constantly changing terrain of financial institution regulation and compliance armed with a foundational understanding of the role of compliance and the other control functions within firms’ systems of corporate governance.

Catalog Number: BUSCOM 596

Course History

Spring 2022
Title: Financial Institution Compliance
Faculty: Dill, Alexander Cassel
Section: 1     Credits: 2.0
Capacity: 25     Actual: 7