A study of consumer compliance issues faced by banks and other financial intermediaries. The course will cover credit-related statutes and regulations. The course will also cover common law fraud, unfair and deceptive acts and practices, the Consumer Financial Protection Bureau, and other federal and state agencies charged with consumer protection.
A study of consumer compliance issues faced by banks and other financial intermediaries. The course will cover deposit-related statutes and regulations. The course will also cover common law fraud, unfair and deceptive acts and practices, the Consumer Financial Protection Bureau, and other federal and state agencies charged with consumer protection.
A study of the obligations of regulated companies when there has been a compliance failure. Topics covered include: audits and other internal governance approaches for discovering compliance problems in a timely fashion; investigations; reporting; mitigation; regulatory responses; and remediation.
An introduction to the law of business organizations, including agency, partnership, and business corporations. Topics include formation and structure of the corporation, power and fiduciary responsibility of management, rights and liabilities of shareholders, shareholders' derivatives litigation, acquisitions and tender offers and insider trading.
This course introduces students to Bank Secrecy Act and Anti-Money Laundering regulations. Topics covered include: establishing and maintaining effective BSA/AML compliance programs; customer identification program requirements; SARs and information sharing; record-keeping requirements; customer due diligence, enhanced due diligence, and ongoing monitoring requirements of high-risk customers and transactions.
An introduction to basic statutes, regulation and administrative practices relevant to regulatory compliance by business entities, financial institutions, and healthcare organizations and practitioners. The course will also introduce students to basic concepts of risk management.
An introduction to legal sources relevant to banking law, consumer protection, and various other issues related to financial regulation. Students will also learn advanced research techniques.
