In this course, you will learn the main principles, concepts, tools, and skills of negotiations and bargaining. These will not only help you develop a good understanding of the subject but will also equip you with what is needed to be a “successful” negotiator. We will give primary attention to negotiation and bargaining in legal contexts.
The potential for lawsuits plays a critical role in business decisions, particularly in regulatory compliance, risk management, and contract procurement and vendor risk management. This is often especially true in highly regulated fields such as healthcare, finance, HR, cybersecurity, and supply chain management. Litigation – whether in front of administrative agencies or courts – is generally the endgame for regulatory, contractual, or other liability problems that institutions may face. This class provides students with a basic understanding of the process of civil litigation in the U.S.
This course covers basic accounting principles necessary to understand, interpret and analyze financial statements, formulate effective inquires, and communicate intelligently with business and financial professionals (as well as with their future clients). Students will read and use the information from real companies to analyze and interpret their financial statements. Specifically, this class will use real-world examples to illustrate the interrelationships between financial statements and the documents underlying certain deals/transactions.
An introduction to corporate governance, risk management, and compliance within business firms and financial institutions. Topics include: the role of the board of directors and executives in managing firms and overseeing risk management and compliance; Codes of Ethics; internal controls; the Sarbanes-Oxley Act; the Foreign Corrupt Practices Act; whistleblowers; crisis management; and disclosure requirements under Federal Securities Laws and under banking statutes and regulation.
A study of the legal issues related to outsourcing contracts, including liability issues arising from these relationships. Students will also learn about best practices for assessing, monitoring, and managing vendor and outsourcing risks.
An introduction to the economic and trade sanctions regime administered by the U.S. Office of Foreign Assets Control (OFAC). Topics include: compliance obligations of financial institutions; the foreign policy and national security justification of sanctions; targeted parties and activities; OFAC licenses; and enforcement issues.
This course covers the law governing real estate lending, both in the consumer and commercial contexts. Topics include: the role of various parties in loan transactions; loan documents; mortgages; title insurance; securitization; and foreclosures.
This course will provide an overview of the statutes and regulations governing broker-dealers. The course will begin with a review of the foundational federal laws that regulate the securities industry and the sale of securities in the United States. Topics will include broker-dealer registration, self-regulation, obligations of broker-dealers, technology, and big data, and enforcement.
A practical application demonstrating the manner in which compliance officers interact with “business owners” and regulators in order to properly risk-manage compliance requirements for banking institutions. The course will introduce students to case studies that require various skills in order to resolve true banking compliance and legal issues. These skills include negotiating and communication techniques for compliance professionals to work well with co-workers, business owners and regulators. Case studies will include new product launches and sample regulatory examinations.
A study of privacy and cybersecurity laws and regulation, as they apply to firms in the financial sector and to corporations registered with the SEC. Topics include: prevention, breaches, disclosures, and remediation; Federal and state privacy and cybersecurity regulations; EU GDPR; the NIST Cybersecurity Framework; Federal Reserve, OCC, and FDIC guidance; and FFIEC and SEC OCIE cybersecurity guidance and initiatives. The course will also cover compliance and risk management best practices.
