LAW-2972 Compliance Practice Seminar

Ms. Barbara Boehler,

2 credits day; 2 credits evening.


The headlines are dominated by stories of corporate fraud fueled by greed and enabled by the lack of appropriate oversight. Now, more than ever, the focus is on internal policies and procedures and the development of strong corporate compliance programs. This course will provide an opportunity for students to learn and develop the basic skills demanded of in-house compliance officers across multiple industries. Students will be introduced to the fundamental skills of a compliance officer such as internal client counseling, negotiation, training, review of regulatory issues, assessment, and drafting of policies and procedures. Students will also be exposed to common issues via a series of fact patterns taken from real-world scenarios. Students will have the opportunity to work as a compliance team and together make recommendations on the resolution of issues that are in the firm's best interest.


Faculty comments: The course is taught through readings, exercises, simulations, and discussion, as well as, research and analysis outside of class. There is no examination but a series of smaller writings which may include journals, analytical papers, and research. For example, students will prepare a short paper while reviewing a regulation and make recommendations regarding its adoption by an internal client. Students will also be asked to suggest best practices in order to counsel internal clients and demonstrate with in-class simulations. Class participation is required and will be formally graded.


pointer    Enrollment is limited: 20 

pointer    Elective Course

pointer    Meets Skills Menu Requirement


<<Course Updated: March 11, 2016>>