COMPLIANCE AND ETHICS FOR FINANCIAL INSTITUTIONS
This course will delve into the advanced understanding of compliance and ethics within the financial industry, with a focus on financial institutions. It will investigate the role of regulatory bodies, their governance, ethical standards, corporate responsibility, and specific compliance policies and procedures within the sector.
Course Objectives:
-
Understand the major laws, regulations, and ethical standards that apply to financial institutions.
-
Analyze and evaluate the role of major regulatory bodies in governing financial institutions.
-
Identify common compliance issues and develop strategies to manage them.
-
Understand corporate governance and its role in promoting ethical behavior in financial institutions.
-
Develop a thorough understanding of how compliance and ethics interact in real-world financial situations.