Banking, Financial Regulation and Compliance in the United States
How banks manage risk and how US regulators such as the Fed, OCC, FDIC, SEC, FINRA and FinCEN oversee the financial system.
FIN-420 Year 4 3 credits 12 lessons planned ▶ Video lessons coming soon
Offered by HSM University · Finance
Course content
- 1How a bank makes moneyComing
- 2Credit risk and lending decisionsComing
- 3Liquidity and funding riskComing
- 4Bank capital and the Basel frameworkComing
- 5Market and operational riskComing
- 6The US regulatory mapComing
- 7Securities regulation, the SEC and FINRAComing
- 8Anti-money laundering and FinCENComing
- 9Know your client and suitabilityComing
- 10Consumer protection in financial servicesComing
- 11Fintech, crypto assets and new regulationComing
- 12Case study: a compliance review at a dealerComing
Requirements
Recommended background. You can start any course at any time.
Description
How banks manage risk and how US regulators such as the Fed, OCC, FDIC, SEC, FINRA and FinCEN oversee the financial system.
Part of the Business stream, typically taken in year 4.