Financial Regulation


This course will survey the regulatory architecture of major U.S. financial institutions, including commercial banks, investment banks, hedge funds, mutual funds, and insurance companies. Understanding the regulatory framework surrounding financial institutions requires situating them within a rapidly evolving political, technological and global context. The course will explore various regulatory mechanisms, such as bank supervision, security disclosures, fiduciary duties, consumer protections, capital requirements, and risk monitoring. The design of these complex governance tools has important implications for the health and stability of the economy, and thus for society. Attendance at the Graduate Program in Banking and Financial Law's three-day program, "Financial Services Basics," is highly recommended. PREREQUISITE: Business Fundamentals. GRADING NOTICE: This class does not offer the CR/NC/H option.
Fall 2017: LAW JD 864 , Sep 5th to Dec 7th 2017
A1Rory Van Loo3Tue,Thu4:20 pm - 5:45 pmLAW410