Financial Regulations, Compliance, and Ethics

Course Code: FNPA 5001

Academic Year: 2026-2027

This course examines ethical issues and standards of professional conduct relevant to business professionals, with an emphasis on the financial industry. Learners will gain experience with the various tools, practices and techniques used in determining and meeting compliance needs for privacy and anti-money-laundering. Key topics include ethical theories, corporate social responsibility, rights and regulation, as well as ethical issues involving shareholders, employers, suppliers, competitors, and consumers.