Ethics and Compliance

Catalog description

This course will include the study of the ethical, legal, regulatory and compliance aspects of investment and portfolio management, including the legal and regulatory constraints on the use of derivative securities to manage investment risk. The course will additionally explore issues of risk measurement, risk transparency, and disclosure issues of investment and derivatives markets. Fee Information: Lab fee may be required. Prerequisite: FIN 52010 ; FIN 52030 . Share this Page Facebook this Page (opens a new window) Tweet this Page (opens a new window) Print (opens a new window) Help (opens a new window)