Course Descriptions
Legal Studies
LES 207
Global Financial Compliance
3 credits
This course provides an overview of the global regulatory landscape and issues arising cross borders, particularly with regard to the financial services industry. This course will also provide insight into the many opportunities available within the field of regulatory compliance. Emphasis is placed on the international regulatory environment, the role of regulators, application of laws and regulatory structure, the development and governance of the compliance function within organizations, risk management, ethical concerns, trends, and the conflicts presented when the laws and principles of multiple jurisdictions are in conflict.Prerequisite(s): ENG 121