Mar 27, 2023  

LGLS - 622 Banking & Financial Services Compliance

(3 hrs.)

This course introduces students to the fundamental principles of banking and financial services compliance and the intersection of these principles with applicable laws and regulations.  This course surveys the basic laws, regulations, and policies that constitute U.S. banking and financing regulation.  Students will also learn the key elements of effective banking and financial services compliance programs, including drafting and implementing compliance policies and procedures, educating through training, auditing and monitoring, and detecting and remediating compliance failures.  Through drafting and other hands-on exercises, students will learn practical skills that are foundational to the development, implementation, and maintenance of effective compliance programs.  Emphasis will be placed on learning practical legal and compliance skills and techniques relevant to the banking and financial services industries. Pending Faculty Approval. Only available to MLS students starting April 2019 and later.