Graduate Course Descriptions

The following directory lists the graduate courses which the University expects to offer, although the University in no way guarantees that all such courses will be offered in any given academic year, and reserves the right to alter the list if conditions warrant. Click on the links below for a list of courses in that subject area. You may then click “View Classes” to see scheduled classes for individual courses.

5343. Legal and Ethical Issues in Financial Risk Management

3.00 credits

Prerequisites: None.

Grading Basis: Graded

An introduction to the federal laws regulating financial products and the internal controls necessary to comply with those laws. The federal regulation of securities and derivatives and the market participants engaged in those businesses. Participants study safety and soundness regulation of other major financial institutions, including commercial banks, bank holding companies, and insurance underwriters. Examination of the compliance activities and internal controls that financial firms need to maintain to comply with federal law particularly the Sarbanes-Oxley Act. Includes an overview of new developments in financial regulation and compliance.

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