Prerequisites: PLST 362 or PLST 336.
This course provides an overview of various regulatory provisions applicable to the financial services industry, including the Anti-Money Laundering (AML) and Business Continuity Plans (BCP) rules, the Foreign Corrupt Practices Act, and insider trading prohibitions. Compliance with the requirements of these laws will be the focus of the course.
Outcomes: Students will learn practices and procedures to monitor and document compliance with these laws.
This course provides an overview of various regulatory provisions applicable to the financial services industry, including the Anti-Money Laundering (AML) and Business Continuity Plans (BCP) rules, the Foreign Corrupt Practices Act, and insider trading prohibitions. Compliance with the requirements of these laws will be the focus of the course.
Outcomes: Students will learn practices and procedures to monitor and document compliance with these laws.