2021-2022 Graduate Catalog

MFIM 647 Financial Regulations & Compliance

The course covers ethical issues, professional standards, and the code of conduct related to investment portfolio management and private and public sharing of information. This course will also examine regulations covering business ethics and standards of professional conduct in the financial services industry and include discussions of business leadership and professional conduct in the financial services industry.

Credits

3

Prerequisite

MFIM 636 Quantitative Finance I, MFIM 638 Financial Analysis & Firm Valuation, MFIM 640 Investment Management