Courses
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- LAW BK 931: Compliance Programs
The course is a survey of the key areas of compliance and risk. The focus will be on industry issues and regulatory oversight by the regulatory agencies relative to the types of services provided by financial institutions. Examples of regulatory examinations, compliance breakdowns, regulatory sanctions and remediation orders will be reviewed. The course will also examine the methodology of implementing and maintaining a compliance and risk program. Topic areas to be covered include: the Office of Foreign Assets Control; Bank Secrecy Act; Privacy in the US and the European Union; Information Technology ¡V Data Security; Information Reporting/Disclosure; Whistle Blower & Insider Trading Policies; Code of Ethics; Audit; Conflict of Interest; Management Reporting; Business Unit/Operation Oversight; Enterprise Risk Management; Implementing Policies & Procedures; Fraud Detection/Avoidance/Investigation; and Record Retention. - 拉
- LAW BK 933: Bankruptcy
This course examines bankruptcy and related state law from the point of view of secured and unsecured creditors. The course begins with survey of individual state law collection remedies and non-bankruptcy composition and liquidation schemes. The balance (and bulk) of the course focuses on the rights, obligations and procedures created by federal bankruptcy law. Topics addressed include: the automatic stay, the use and protection of collateral during the pendency of a bankruptcy case, the avoidance of pre-bankruptcy transfers as preferences and fraudulent transfers, the treatment of executory contracts and unexpired leases, debtor-in-possession financing, asset sales and the negotiation and confirmation of a plan of reorganization that is binding on all creditors. Finally, the course will discuss recent ¡§bankruptcy reform¡¨ legislation, which affects both corporate and consumer bankruptcies. - LAW BK 935: Microfinance and Development
This course provides an introduction to the field of microfinance, particularly its rapid evolution and role in economic development. Students will learn key concepts including the study of lending methodologies, products available to micro-entrepreneurs and the legal challenges, public policy considerations, and risks faced by investors, technical experts and financial providers. This course will also examine financial practices in the developing world such as payment and remittance systems, which allow foreign nationals to transfer funds internationally within and outside traditional banking systems. - 拉
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- LAW BK 955: Securities Regulation
A survey and analysis of key problems arising under the Securities Act of 1933, the Securities Exchange Act of 1934, and the rules promulgated thereunder. These problems include the form and content of registration statements under the 1933 Act, liabilities of persons designated in Section 11 and 12 of the 1933 Act, the form and content of a typical Balance Sheet and Profit and Loss Statement, processing a registration statement, exemptions under the 1933 Act, the underwriter's liability, the control person's "distribution;" regulation of securities exchanges and broker-dealers, manipulation, stabilization, and "Hot Issues;" tender offers; and civil liabilities under rule 10b-5, section 14(a), and Section 16(b) of the 1934 Act. - LAW BK 957: International Project Finance
This course examines the legal, financial, and policy problems involved in investing across national borders and focuses on strategies and techniques of structuring and financing such investments. Coverage will include the legal and regulatory environment for foreign investment, the role of political risk management, and the implications of treaties, conventions, and other relevant law. Selected international investment transactions, both actual and hypothetical, will be used to illustrate recurring issues. - LAW BK 958: Transnational Lending and Trade Financing
This course examines legal issues arising in debt financing provided by financial institutions in international markets. The structure of transnational loan agreements, guarantees, letters of credit, participation and loan sales transactions, and basic instruments and documents common to trade financing are examined. The nature of the documentation and techniques used in such transactions, as well as regulatory patterns, legal problems and international law reform efforts, are studied. The course also covers issues related to the syndication of debt financing transactions, governing law, and creditor remedies. - LAW BK 960: Thesis Seminar
This course provides an opportunity for students to conduct in-depth research on topics covered in the program and to improve their writing skills. Each student prepares a paper on a topic chosen in consultation with the instructor and presents his or her findings to the class. Students edit one another's drafts and participate in critiques during class sessions. A text and other materials are used in discussions of effective legal writing. The seminar may satisfy a concentration requirement depending on the subject of the paper. It is open to a limited number of second-semester students with permission of the instructor. - LAW BK 963: International Securities Transactions
Rapid development of new capital markets and derivative products is changing international securities markets. After a brief review of the relevant fundamentals of securities regulations, this course explores the structure of capital markets and derivative products with emphasis on risks, legal issues and regulatory concerns. - LAW BK 975: Financial Institutions Management
This course provides lawyers with an introduction to problems and issues in contemporary bank management. It covers decision-making as related to profitability, asset and liability management, growth and diversification, and loan and liquidity management. The management of financial risk in banks, especially interest-rate risk, is emphasized. Also considered are international bank management issues, strategy development, merger and acquisition strategy, and the role and impact of regulatory compliance and accounting issues on bank management. Course grades will be based on a final examination, written analysis of case studies, and participation in class discussion. - LAW BK 978: Accounting for Financial Institutions
An introduction to the accounting practices of financial institutions with emphasis on accounting for mergers and acquisitions, loan losses, revenue recognition, and income taxes. Presentations also cover asset and liability management, liquidity and capital resources. A textbook on the principles of accounting and annual reports of major financial institutions will be used as course material. The course grade is based on two examinations and class participation. - LAW BK 980: Securities Activities of Banks
This course covers an important and rapidly expanding area of bank business. The course emphasizes the banking industry's new legal and competitive responses to increased competition and rapid changes in the financial services market. First, it analyzes the statutory, regulatory, and judicial parameters in which commercial banks have undertaken and are developing securities-related activities. Then, it examines in depth product and service developments, including mutual funds, brokerage, investment advisory services, and various underwriting activities. Special attention is paid to fiduciary responsibilities as they may be affected by these activities, including delegation of investment responsibility, conflicts of interest, disclosure, and fees. - LAW BK 983: Central Banks, Commercial Banks, and Financial Markets
This course introduces lawyers to the economics of financial markets and institutions. Emphasis is placed on the interaction of commercial banks, the Federal Reserve System, and monetary policy. Other topics include the characteristics of financial instruments (such as Treasury securities, corporate stocks and bonds, and secondary market mortgage-backed securities), how they are priced in the market, the factors determining the level and shape of the Treasury yield curve, and the relationship between commercial banking and the growth of the over-the-counter derivatives market. Course grades will be based on midterm and final examinations, and on written assignments. - 拉
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