Building and Implementing an Effective Preventive Measures Compliance Program

4 Units

The course will examine specific problems that arise in building an effective preventive measures program. In addition to an in-depth examination of selected problems in designing and implementing preventive measures, the course will cover audits, inspections, on-site examinations, and sanctions. It will rely primarily on the presentation and discussion of case studies in each critical area of an effective compliance program, with a focus on the banking sector. Prereq: Must be enrolled in the Executive Master of Arts-Financial Integrity program.