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ML: Corporate Compliance (Kandel)
Spring 2020   LAW 522-301  

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Meeting Times/Location
R 5:30PM - 8:15PM
Silverman Hall 240B

Additional Information

Skills Training
Other Professional Skills:

Grading
20% Participation,
15% Exam,
65% Paper

Exam
Multiple Choice,
In Class,
Open-Book

Satisfies Senior Writing Requirement

No

Course Continuity
Students are encouraged to stay home if you are ill or experience flu-like symptoms. If you miss a class for any reason, it is still your responsibility to make up the work missed.

I offer the following to students who miss class due to illness:

- Class sessions are regularly recorded. If you are absent due to illness or some other unavoidable circumstance, email me and I can send you an email with instructions for accessing the recording for the class session(s) you missed.

- If you are absent due to illness or some other unavoidable circumstance, email me and I can make PowerPoint slides or other class materials available to you.

Category
Masters in Law

Credits
3.0

This course will teach the importance of corporate compliance in America and how to create and maintain an effective compliance program. Warren Buffet, building on a quote attributable to Benjamin Franklin, said, “It takes 20 years to build a reputation and five minutes to ruin it. If you think about that, you’ll do things differently.” In the corporate world, an important mechanism for protecting a company’s reputation begins with the implementation of an effective compliance program. The Compliance Officer position has been reported to be the “Hottest Job in America.” The legal and ethical issues compliance officers face often arise in the context of everyday matters. Learning how to address these challenges and finding practical solutions are indispensable skills for anyone working in this field. This course will discuss issues facing many types of business organizations and how effective governance, culture and compliance programs can impact a corporation’s success – or failure. Students will learn the fundamentals of creating and implementing a solid compliance program and why this is vital. While the course will primarily focus on the financial services industry it will blend the fundamentals of compliance with practical aspects that also arise in most other businesses. Those who wish to work specifically in compliance as well as those who work, or are looking to work, in any regulated industry, such as finance and healthcare, will benefit from this class. Class sessions will include real life compliance “issues of the day,” and current compliance topics of interest including anti-corruption, cyber security, privacy, data protection, insider trading and conflicts of interest.

There is no textbook for this course. Handouts consisting of news articles, academic and professional journals and articles, legal cases and other materials will be made available.

Course Concentrations

Skills Learning outcomes: Demonstrate an understanding of the individual course skill; Demonstrate the ability to receive and implement feedback; Demonstrate an understanding of how and when the individual course skill is employed in practice.

Perspectives on the Law Learning outcomes: Demonstrate an understanding of how the law affects, and is affected by, the individual course topic; Perform legal analysis in the context of the individual course topic; Communicate effectively on the legal and other aspects of the individual course topic; Demonstrate the ability to use other disciplines to analyze legal issues relevant to the individual course topic, including economics, philosophy, and sociology, as appropriate.

Administrative and Regulatory Law Learning outcomes: Demonstrate a core understanding of administrative and regulatory law and the administrative process, including the role of statutory authorization and work of administrative agencies; Perform legal analysis in the context of administrative and regulatory law; Communicate effectively on topics related to administrative and regulatory law; Demonstrate an understanding of the role administrative and regulatory law play in our legal system and in society as a whole.