道格·科尼利厄斯

2学分

本课程将带领学生了解金融机构内部的合规机制，并将监管要求付诸实践。 本课程的目的是为金融机构法律部门或独立合规部门的律师提供基础准备。 This course covers the following: * The history of compliance * The interaction between business processes, legal requirements, and compliance. * The profession of financial compliance * The interaction of conflicts, risks and ethics * Defining best practice, business process, risk assessment and controls and their interactions within financial institutions *Compliance for investment advisers, private funds, mutual funds, broker-dealers, and other regulatory regimes * Interacting with regulators, enforcement agencies and investigations * Business ethics and culture in financial institutions. 本课程将以考试作为最终评估。 评分通知：本课程不提供CR/NC/H选项。