Professors Lee Augsburger, Peter Feeley
This course will examine the legal and compliance issues facing multi-national financial services firms. Students will explore and examine the basic elements of legal and regulatory obligations faced by international financial services firms as well as the various regulatory oversight structures. Additionally, consideration will be given to the role of the compliance department function in relation to current developments in corporate governance. Students will also analyze the practical compliance-related issues that arise in designing and implementing day-to-day operating policies and procedures. This course will utilize case studies and experimental learning exercises in which the students will examine and discuss solutions to real-life compliance issues. Students will be asked to prepare written assignments to allow them to develop and hone the practice skill necessary to effectively address compliance issues facing multinational financial services firms.