LAW 3230
Control Functions in Financial · 3 credits · Fall 2026
Requirements
Prerequisite: LAW 1101 and (BUS 1000 or BUS 1011 or BUS 2000) and (ZICK or ZKTP or official ECO-BA)
About this course
This course examines the key elements of control functions in financial institutions, emphasizing how they have adapted to the market changes since the Financial Crisis of 2008. The course introduces and examines the way banks and other financial intermediaries measure and manage the various types of business risk to ensure that banks operate in a safe and sound manner. The course covers the overall control frameworks which establish policies, procedures, standards, and governance functions, with an emphasis on the requisite changes imposed by the crisis. Control functions studied include Human Resources, Finance, IT,Internal Audit, Legal, Treasury, Risk Management, Compliance, and the COO role. This course emphasizes case analysis, development of critical thinking skills, and oral and written communication.
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