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