Skills Workshop: Financial Compliance

Catalog description

This one credit class will focus on legal and regulatory compliance issues related to private funds (such as hedge and private equity funds), investment advisers and broker-dealers. Class will start with an overview of the financial services industry and the relevant legal/regulatory framework. Sessions will delve into the role of the Chief Compliance Officers, the regulatory framework for private funds, investment advisers and broker-dealers and topical legal issues for this industry like cyber security, AML, market manipulation and insider trading.