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Apr 19, 2024
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LAW 2735 - Introduction to Asset Management Legal and Compliance
Corporate compliance, one of the fastest growing markets for legal services, is the way organizations manage risk. This course is designed to give students a practical understanding of the laws and regulations encountered by compliance professionals in daily practice. Specifically, this course will serve as an introduction to risk management and compliance within the financial services industry, and primarily within the asset management realm (i.e. investment advisers and investment companies). The course will explore the evolution of compliance and risk management functions, including the statutes that serve as the foundation for compliance, such as the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other Federal securities law. The course will then provide students with a real-life understanding of compliance and risk management roles, through the introduction of guest speakers, including high-level legal and compliance professions from the private sector (in-house and law firm), regulatory agencies (including the SEC) and other well-respected industry groups. The course will also focus on specific compliance-related issues including registration requirements, portfolio compliance testing, Code of Ethics and conflicts of interest, fiduciary responsibilities, the role of regulators, preparing for regulatory examinations and the implications of enforcement-related matters. Students will have the opportunity to complete mock compliance and risk management assignments to supplement the course learning materials, which will be a combination of statutes, case law, best practices and regulatory guidance.
Prerequisites & Notes
None, although Securities Regulation enrollment is strongly encouraged as a pre- or co-requisite
Credits: 2
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