SECURITIES CRIMES
This law course delves into the complex and rapidly-evolving world of securities crimes. Students will gain a comprehensive understanding of the legal framework governing securities markets and the criminal conduct that undermines their integrity. Through an in-depth examination of key legislations, regulatory bodies, and influential case studies, the course will equip students with the tools needed to identify, prevent, and address various types of securities crimes. Additionally, the course will cover emerging trends and issues, such as the impact of technological advancements and the growing importance of cross-border enforcement.
Course Objectives:
Upon completion of this course, students will be able to:
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Understand the legal and regulatory framework that governs securities crimes, including key legislations and the roles of the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Department of Justice (DOJ).
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Analyze and identify different types of securities crimes, such as insider trading, market manipulation, fraudulent financial reporting, Ponzi and pyramid schemes, securities offering frauds, broker-dealer misconduct, investment adviser fraud, and violations of the Foreign Corrupt Practices Act (FCPA).
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Examine and discuss influential case studies that have shaped the landscape of securities crimes enforcement and regulations.
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Assess the effectiveness of compliance programs, internal controls, and best practices in preventing securities crimes and promoting the integrity of the financial markets.
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Stay informed on emerging trends, challenges, and issues in the field of securities crimes, including the impact of new technologies, cross-border enforcement, and regulatory developments.
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Apply the knowledge acquired throughout the course to real-life scenarios, evaluating the legal implications and potential consequences of securities crimes in various contexts.