Compliance Programs

A Deeper Understanding of the Legal
Compliance Field

The Center will sponsor a new series of programs designed to prepare students for a future in the legal compliance field and to advance knowledge of this field. These programs will introduce students to the legal and compliance functions in publicly traded companies and financial firms, such as broker-dealers and investment advisers. For this purpose, the Center will sponsor events that bring legal and compliance officers to the Law School to discuss their work experience and the critical issues facing them. 

Members of the Center’s faculty, often with the assistance of practitioners, will offer courses on the regulation of financial institutions, the role of compliance in that regulation and the practice of compliance. In addition to these courses, students will have the opportunity to work as externs with securities regulators, FINRA and financial institutions and to be mentored by lawyers working in the compliance field. 

The Center will, as part of its broader mission, advance scholarship on the legal and compliance function by, among other things, sponsoring conferences where scholars and compliance professionals reflect on the role of this function in the regulation of financial institutions.

Symposium: The Market for Corporate Control in the Zone of Insolvency

Watch the Symposium on The Market for Corporate Control in the Zone of Insolvency

Have questions? We have answers.

Center for the Study of Business Law and Regulation

James Fanto
Professor of Law

Edward Janger
David M. Barse Professor of Law &
Associate Dean for Faculty Research and Scholarship

Associate Director:
Miriam Baer
Professor of Law