For the first time, the finance department at the Ageno School of Business and the GGU School of Law are offering a joint class titled “Corporate Compliance and Ethics” (FI 498I). The class will be composed of half law students and half MS in Finance students and co-taught by a finance professor and a law professor:
Yvette Hollingsworth Clark, the finance professor, is Executive VP and Regulatory Innovation Officer at Wells Fargo. She has been with Wells Fargo for 6 years in multiple roles in risk management and compliance. Prior to Wells Fargo, Yvette held positions with Barclay’s Bank, Citigroup and The Federal Reserve. She earned an MBA from Syracuse University.
Michele Neitz, the law professor, currently teaches Business Associations, Poverty Law, and Legal Ethics at the Golden Gate University School of Law. She received her J.D. from New York University.
In the wake of recent corporate ethics scandals in the press, this course will help students flesh out their understanding and practice of risk management techniques within a corporation.
If you are a student or simply want to learn more about the course, please contact Andrea Anthony, Finance and Economics Department Chair & Associate Professor of Finance.
Registration for the course is now open!
The number and scope of ethical lapses in American corporations continue to escalate, record breaking fines are on the rise, and the desire to prosecute individual employees for corporate misdeeds remains. This course will prepare Finance and Law students to: 1) navigate the complexity of complying with corporate law and regulations; 2) design, implement and maintain effective compliance risk and ethics programs; and 3) support business objectives, using the U.S. Federal Sentencing Guidelines and legal ethics rules as our guides. The course will also introduce students to the common law method by which doctrine is created; the importance and authority of corporate statutes, business and ethics codes, and corporate regulations, and the structure of the U.S. legal system and its various actors and related impact to business models. This course will engage students through case methods to emphasize effective risk management techniques and how to establish and manage risk tolerances and performance measures. This course is invaluable to students who are considering a career in business, law or compliance or have positions in management that support Board of Director activities. Prerequisite: FI 300