Summer 2025
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5343. Legal and Ethical Issues in Financial Risk Management
3.00 credits
Prerequisites: None.
Grading Basis: Graded
An introduction to the federal laws regulating financial products and the internal controls necessary to comply with those laws. The federal regulation of securities and derivatives and the market participants engaged in those businesses. Participants study safety and soundness regulation of other major financial institutions, including commercial banks, bank holding companies, and insurance underwriters. Examination of the compliance activities and internal controls that financial firms need to maintain to comply with federal law particularly the Sarbanes-Oxley Act. Includes an overview of new developments in financial regulation and compliance.
Last Refreshed: 03-APR-25 05.20.08.649495 AM
| Enrollment Data | Section | Class Number | Notes | Instructor | Enrollment | Session | Instruction Mode |
|---|---|---|---|---|---|---|---|
| 1255 1727 SDE 811 | 811 | 1727 | Ariyan, Stephan | 32/40 | SDE | Online Synchronous |