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LAW-2972 Compliance Practice Seminar
Ms. Barbara Boehler,
2 credits day; 2 credits evening.
The headlines are dominated by stories of corporate fraud fueled by greed and enabled by the
lack of appropriate oversight. Now, more than ever, the focus is on internal policies and
procedures and the development of strong corporate compliance programs. This course will
provide an opportunity for students to learn and develop the basic skills demanded of in-house
compliance officers across multiple industries. Students will be introduced to the fundamental
skills of a compliance officer such as internal client counseling, negotiation, training, review of
regulatory issues, assessment, and drafting of policies and procedures. Students will also be
exposed to common issues via a series of fact patterns taken from real-world scenarios. Students
will have the opportunity to work as a compliance team and together make recommendations on
the resolution of issues that are in the firm's best interest.
Faculty comments
: The course is taught through readings, exercises, simulations, and
discussion, as well as, research and analysis outside of class. There is no examination but a series
of smaller writings which may include journals, analytical papers, and research. For example,
students will prepare a short paper while reviewing a regulation and make recommendations
regarding its adoption by an internal client. Students will also be asked to suggest best practices
in order to counsel internal clients and demonstrate with in-class simulations. Class participation
is required and will be formally graded.
Enrollment is limited: 20
Elective Course
Meets Skills Menu Requirement
<<Course Updated: March 11, 2016>>