Introduction

Compliance Within Financial Services Companies

This course teaches students about the compliance function within a financial services organization, the regulatory scheme applicable to broker dealers, banks, and investment advisers as well as the various compliance positions, and more.

Compliance Within Financial Services Companies

Compliance Within Financial Services Companies

The purpose of this course is to clarify the compliance function within a financial services organization, understand the regulatory scheme applicable to broker dealers, banks, and investment advisers; understand the various compliance positions and roles within a financial services organization; gain an understanding of the regulatory exam process; understand the difference between compliance and supervision and the importance of maintaining a clear distinctions between the two functions.

The grade will be based on a final exam and three writing exercises.

Recommended for the Following Professional Pathways: Corporate Transactions and Governance; Financial Services and Compliance

2 Credits

PROFESSIONAL PATHWAYS

Business and Financial Services

Intellectual Property and Privacy

Government and Public Interest Law

General Practice / Chart Your Path

 

OTHER CRITERIA

Format

Credits

Graduation Requirements

X