Skip to Main Content

FINA.6550 Global Financial Regulation and Compliance

Id: 040025 Credits Min: 3 Credits Max: 3

Description

This course will provide an in depth survey of some of the major regulatory regimes within which the global financial services industry operates. Participants will learn the principles and techniques required to establish and maintain an effective compliance regime consistent with a strong ethical corporate culture. The course will rely upon examination of real-world examples; and, students will participate in a significant case study, requiring them to design an effective compliance program for a hypothetical firm operating in multiple jurisdictions.

Prerequisites

FINA.5010 Fundamentals of Finance, or permission of graduate program coordinator.

View Current Offerings