Sep 30, 2020  
2019-2020 Undergraduate Catalog 
2019-2020 Undergraduate Catalog [ARCHIVED CATALOG]

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BNK 3800 - Culture and Practice of Compliance

Credits: 3

Prerequisite(s): BNK 3600

Description: Compliance is increasingly important in American corporations as firms develop programs and offices whose role is to ensure that they comply with all relevant laws and regulations. These offices also train workers on these regulations and encourage them to behave legally and ethically. This course will cover the practical issues involved in the development of a compliance office and in the implementation of a corporate compliance program. Students will examine the three lines of defense in compliance, as well as the roles of tone, training, and monitoring. The course will also discuss examples of cases where corporations have deviated from legal or ethical standards, the role of a compliance office, and the legal and ethical responsibilities of a chief compliance officer. Students will also develop the skills necessary to maintain a strong compliance program, such as auditing strategies, interviewing and document review, and drafting documents for an intended audience of executives or regulatory agencies.

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