Principles of Regulatory Compliance and Consumer Protection

1 Unit · Graduate

Explores the structure of financial and technology regulation, including U.S. agencies (OCC, FRB, FDIC, SEC, CFPB) and global frameworks (Basel III, PRA, EU DORA, and AI Act). Students learn how consumer protection, prudential supervision, and safety-and-soundness principles are embedded into risk management frameworks across sectors. Required course for both general track and AI/Tech specializations.