Compliance in Financial Services Companies (S)-LAW JD 769

Compliance in Financial Services Companies (S)

Dates: All year

By: Boston University

Location: Boston

Credits: 3

This course deals with compliance mechanisms within large financial organizations. Compliance includes observing the law and following internal rules within the institution. The purpose of the Course is to offer a fundamental preparation to the lawyer in a large financial institution's Legal Department or a separate Compliance Department. This Course covers the following: * The history of compliance within United States and global financial services companies; * The interaction between business processes and compliance processes; and, in some respects, the law and its enforcement within organizations; * The profession of compliance: The roles of the Chief Ethics & Compliance Officer, The Auditor; the Legal Officer and the interaction among them * Defining best practice, business process, risk assessment and controls and their interactions within the global financial service company; * A broad outline of regulations applicable to global financial services companies; the respective roles of corporate governance functions, such as: finance, internal audit, independent auditors, legal, compliance, and ethics departments, and risk management, and international issues. * Asset management: an overview of the regulation of broker dealers, insurance, and banking. * Interacting with regulators, and investigations * Business ethics and culture in large organizations. The reading materials for the Course are prepared by Professor Lee D. Augsburger (Chief Compliance Officer of Prudential Insurance Company) and Professor Tamar Frankel. Students will complete a take-home examination of approximately 7 hours. Grades will be adjusted for class preparation and participation. GRADING NOTICE: This course does not offer the CR/NC/H option. ** A student who fails to attend the initial meeting of a seminar, or to obtain permission to be absent from either the instructor or the Registrar, will be administratively dropped from the seminar. Students who waitlist for a seminar are required to attend the first seminar meeting to be considered for enrollment.

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