Course Catalog

3 Unit(s)

The number and scope of ethical lapses in American corporations continue to escalate, record breaking fines are on the rise, and the desire to prosecute individual employees for corporate misdeeds remains. This course will prepare Finance and Law students to: 1) navigate the complexity of complying with corporate law and regulations; 2) design, implement and maintain effective compliance risk and ethics programs; and 3) support business objectives, using the U.S. Federal Sentencing Guidelines and legal ethics rules as our guides. The course will also introduce students to the common law method by which doctrine is created; the importance and authority of corporate statutes, business and ethics codes, and corporate regulations, and the structure of the U.S. legal system and its various actors and related impact to business models. This course will engage students through case methods to emphasize effective risk management techniques and how to establish and manage risk tolerances and performance measures. This course is invaluable to students who are considering a career in business, law or compliance or have positions in management that support Board of Director activities. Prerequisite: Business Associations