Id: 039666 Credits Min: 3 Credits Max: 3

Description

This course will provide: 1.) an introduction to ethical standards held to be best practices in the financial services industry; 2.) a survey of some of the major regulatory regimes within which this global industry operates; and, 3.) exposure to principles and procedures for establishing and maintaining and effective compliance regime consistent with good ethical practice and regulatory compliance. The course will rely heavily upon examination of real-world examples in the application of the principles surveyed.

Prerequisites

Pre-Req: FINA.3010 Financial Management.

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