Compliance & Ethics  Certificate of Achievement

Course List

Regulation and Regulators

This course is designed to provide a broad understanding of the philosophy, history, and context of regulations and regulatory agencies within various industries, including but not limited to financial services, healthcare, and human resources. Students will evaluate and assess the external role of the compliance process, including federal, state, and local regulatory agencies. Students will study the complex regulatory environment that has recently grown to safeguard the public’s personal information and prevent abuse within various industries.

Governance, Ethics and Compliance

This course aims to give students a basic understanding of corporate governance as a term and practice involving relations between a firm’s executive leadership, its governing board, and its stakeholders. The course explores various governance models practiced in the US, including both for-profit and nonprofit, and looks at the role and responsibilities of each party in these relationships as set down in the legal code and as suggested by current best practices. The role of various board committees will also be discussed, along with their relationships with regulatory agencies such as the SEC. A fundamental part of the course is a discussion of the "purpose of a corporation" and of the various perspectives held by prominent thought leaders in the US on this subject. The course will also look at changes made in board practices following the Sarbanes Oxley legislation in 2002 and at recent trends in corporate governance.

Enterprise Risk Management

This course aims to provide an understanding of risk management's broad overview and perspective and its theoretical and practical applications to corporate compliance issues, policies, and procedures. The course seeks to put governance, risk management, and compliance in context by providing an introduction and foundation to risk management.