Spring 2025 Enterprise Risk Management PS5520 section AU1

RISK REGULATIONS IN FINANCE

RISK REGULATIONS IN FINAN

Call Number 18584
Day & Time
Location		 R 6:10pm-8:00pm
OTHR OTHER
Points 0
Grading Mode Ungraded
Approvals Required None
Instructor Lisa Broomer
Type LECTURE
Method of Instruction In-Person
Course Description

This course examines post-financial crisis regulations including Basel III, Fundamental Review of the Trading Book (FRTB), Dodd-Frank Act, Supervision and Regulation Letter 11-7 (SR 11-7), and others.  Case studies will explore the technical details of these new rules; and guest lectures from industry experts will bring the material to life.  Areas of focus include: model risk management, stress testing, derivatives, and insurance.  By the end of this course students will be able to:

  • Evaluate the purpose and limitations of risk regulations in finance.
  • Identify and communicate weaknesses in a financial firm.
  • Communicate with regulators.
  • Understand Recovery and Resolution Plans or “Living Wills” for a financial firm.
Web Site Vergil
Department Auditing
Enrollment 2 students (2 max) as of 5:05PM Saturday, December 13, 2025
Status Full
Subject Enterprise Risk Management
Number PS5520
Section AU1
Division School of Professional Studies
Note ON-CAMPUS. OPEN TO SPS ON 1/21.
Section key 20251ERMC5520KAU1