2020-2021 Academic Catalog 
    Apr 17, 2024  
2020-2021 Academic Catalog [Archived Catalog]

FIN 353 - Financial Services Compliance And The Regulatory Environment

Credits: One (1)
Financial Services firms all share a common concern - regulatory compliance. This course covers the core compliance issues that someone considering, or training for, a career in financial services will face, including ethics, privacy, advertising and correspondence, trading and prohibited transactions, product appropriateness, fiduciary requirements, and social networking.