FINANCIAL SERVICES ENFORCEMENT AND COMPLIANCE
This course delves into the complex world of financial services enforcement and compliance, providing students with a comprehensive understanding of the regulations, legal frameworks, and best practices that govern the financial services industry. The course will explore the roles of various regulatory bodies, the process of investigation, enforcement actions, and the development and implementation of effective compliance programs.
To provide students with a thorough understanding of the legal and regulatory frameworks governing financial services enforcement and compliance.
To examine the roles and responsibilities of various regulatory bodies involved in the enforcement of financial services regulations.
To analyze key enforcement actions and their implications for compliance in the financial services industry.
To explore best practices in designing and implementing effective compliance programs.
To develop the critical thinking and problem-solving skills necessary to navigate complex enforcement and compliance issues in the financial services industry.