Graduate Program in Banking & Financial Law

Compliance Programs (A, C)

Stephen Cesso

The course is a survey of the key areas of compliance and risk. The focus will be on industry issues and regulatory oversight by the regulatory agencies relative to the types of services provided by financial institutions. Examples of regulatory examinations, compliance breakdowns, regulatory sanctions and remediation orders will be reviewed. The course will also examine the methodology of implementing and maintaining a compliance and risk program. Topic areas to be covered include: the Office of Foreign Assets Control; Bank Secrecy Act; Privacy in the US and the European Union; Information Technology – Data Security; Information Reporting/Disclosure; Whistle Blower & Insider Trading Policies; Code of Ethics; Audit; Conflict of Interest; Management Reporting; Business Unit/Operation Oversight; Enterprise Risk Management; Implementing Policies & Procedures; Fraud Detection/Avoidance/Investigation; and Record Retention.