FINC 6641 - Regulation, Compliance, and Examination Process

This course examines the intent and scope of the U.S. financial regulatory environment, and identifies primary regulators along with authorizing legislation, and implementing regulations for different categories of financial institutions. It also reviews regulatory requirements both established in response to fraud and national security concerns, and designed to enhance consumer protections. Finally, it analyzes the impact that regulatory requirements have on the operations of financial institutions. 3 credits.