BNK 4750 - Case Studies in Compliance

Credits: 3

Prerequisite(s): BNK 3800

Description: Students will receive hands-on training in compliance through an analysis and evaluation of real world situations. Students work on cases to spot the regulatory or compliance concerns, develop an audit plan, draft an investigatory report, and propose a remediation plan. Students will work as a compliance team to resolve issues in a way that protects the rights of customers and the profits of the firm.