Stephen Cesso


US General Counsel

B.A., University of Massachusetts
J.D., New England School of Law
LL.M. in American Banking Law Studies, Boston University School of Law


Mr. Cesso is responsible for compliance and legal functions of Computershare, a U.S. subsidiary of Computershare Ltd. of Australia, which specializes in transfer agency, employee equity plans, proxy solicitation and other specialized financial and communications functions. Previously, he had been vice president and associate counsel of State Street Corporation in the Massachusetts State Securities Division. He teaches Compliance Programs.


2 credits

The course is a survey of the key areas of compliance. The course will examine implementing and maintaining a compliance program. Topic areas to be covered include: U.S. Foreign Corrupt Practices Act; the Office of Foreign Assets Control; Bank Secrecy Act; Privacy; Investigations; Whistleblower Rates; Information Reporting/Disclosure; Insider Trading Policies; Code of Ethics; Audit; Conflict of Interest; Management Reporting; Internal Reporting/E- Discovery/Record Retention.

FALL 2015: LAW BK 931 A1 , Sep 3rd to Dec 3rd 2015
Days Start End Credits Instructors Bldg Room
Thu 4:20 pm 6:10 pm 2 Stephen Cesso
FALL 2016: LAW BK 931 A1 , Sep 8th to Dec 8th 2016
Days Start End Credits Instructors Bldg Room
Thu 4:20 pm 6:20 pm 2 Stephen Cesso LAW 605
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