LEGAL 5108

Compliance Systems

Course Description

Course information provided by the 2025-2026 Catalog.

Appropriate and efficient internal compliance helps to support the central mission of the business and control costs. This course is designed to introduce students to the basic concepts and fundamentals of the compliance function within a company or organization. It will focus on (1) the drivers behind the development of rules (2) practical issues involved in rule creation (3) the process of training, or selling, rule systems to the appropriate people (4) policing compliance, including investigations and enforcement of rules, and (5) the consequences of failing to operate a compliance program or doing it wrong. The course relies upon case studies from businesses and organizations, with an emphasis on real life situations with the goal of understanding how to make improvements to rule systems.

Enrollment Priority REF-FA25 Enrollment limited to: MSLS students.

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