risk-management

Wealth Management All students enrolled in the program are expected to take an average of 6 credits per term. Each term is broken down into two parts.

For example, a student may take a two-credit course and a 1-credit course for the first part of the term, followed by a 3-credit course in the second part of the term.

All courses will be taught asynchronously online, and by top instructors and wealth management experts.

Download a sample curriculum here

Aggie Ethics (1 credit)
This course will examine the ethical issues relating to risk management. Topics include the concept of ethics and its relation to the concept of risk; organizing to include risk, governance, ethics, and compliance; using risk assessment to uncover unethical behaviors; ethics, risk, and Aggie Core Values.

Anti-Money Laundering/Bank Secrecy (2 credits)

This course studies legal responses to the problems of money laundering, economic crime, cyber-sabotage and terrorism financing. The course examines the USA Patriot Act and the five regulatory families of financial deposit taking institutions. Other issues covered include the BSA, the U.S. law of money laundering and asset forfeiture, OFAC, the BSA and corresponding acts for other financial institutions, CIP and CADD programs, SARs, CTRs, record maintenance, and C&D orders, qualified intermediary rules (QI), issues associated with correspondent bank accounts, and the criminal liability implications of Pasquantino for financial intermediaries.

Corporate Governance (2 credits)

Topics include the duties and roles of independent and inside directors, outside counsel, shareholders, and fund managers; corporate governance regulations; the role and responsibility of an audit committee; corporate governance issues in contracts; shareholder meetings; and governance issues in mergers.

Cybersecurity (2 credits)

This course examines the concepts of computer crime and the attempts to prevent it, prosecute it, and recover the proceeds therefrom; the gathering and preservation of electronic evidence; liability of Web Site Owners and IISPs when criminals post to their service; and “adult content” with special emphasis on the Child Online Protection Act and other legislative actions.

Fiduciary and Risk Management (2 credits)

This course examines Generally Accepted Accounting Principles, Practices, and Standards; Financial Statement Analysis; Balance Sheets; Income Statements; Statements of Cash Flows; Statements of Changes in Equity; Usefulness of Audits; Applicable Securities and Exchange Commission Rules and Regulations; Income Statements.

Financial and Portfolio Management (2 credits)

This course examines investment management and the compliance issues involved, including  Investment Policy and Law; Fiduciary Rules and Regulation for Investment Advisors and Managers; Prudent Investor Rules; Rules Pertaining to Investment Products, Mutual Funds, ETFs, and 401Ks; Insurance Products Regulation; SEC and NASD Regulation of RIA Registered Investment Advisors; Client Communication; and Disclosure.

Financial Innovations (2 credits)

The course will consider, among other topics, the challenges in seeking a balance between financial regulation and financial innovation.

Foreign Corrupt Practices Act (2 credits)

This course involves examination of the provisions of the Foreign Corrupt Practices Act including record keeping requirements, definition of “foreign official,” what constitutes bribes and other improper payments, minimizing risks with third parties, and consequences of non-compliance.

Insurance Law, Including Captive Insurance (2 credits)

An examination of leveraging group owned alternative risk transfer methods for managing difficult to value or to insure risks. The courses also will include an examination of leveraging group owned alternative risk transfer methods for managing difficult to value or to insure risks.

Introduction to Risk Management (1 credits)
An introduction to the risks involved in working to achieve corporate objectives. These may include operational, financial, legal compliance, information, and personnel risks. The course involves discussions on strategies to control these risks.

Legal Risk Management (3 credits)

Legal risk management is vital to any organization’s success. This course provides students with necessary tools to understand the legal risk management process and help mitigate and control risk, through identification, assessment, and prioritization.

Project Management (1 credits)
Discover how to apply the concepts of project management to the control and management of legal matters. Learn about the management of schedule, risk, and cost in a measured and rigorous manner, in order to be more efficient in the delivery of legal services.

Securities and Other Investments (2 credits)

This course will examine the topics of Measuring Investment Returns, Measuring Risk and Risk Tolerance, Investment Strategies, Hedging and Option Strategies, and Tax-Advantaged Investing. The course also will examine Bonds and Fixed Income Investments, Pooled Investments, and Alternative Investments.

Securities Regulations including Dodd Frank (3 credits)

This course will review policy and regulation governing investment vehicles and their managers. The course will examine the Investment Company Act of 1940 and the Investment Advisers Act of 1940. The course will also cover the regulation of mutual funds, alternative investment vehicles, such as hedge funds, private equity funds and exchange-traded funds. The course also will examine the objectives of the Dodd-Frank Act; the regulations included to protect investors and consumers; the regulation of corporate governance; the reform of the Federal Reserve; the regulation of derivatives; and the risks of non-compliance. 

White Collar Crime (3 credits)

This course explores the law of economic and political crimes associated with the rubric "white collar crime." Among the substantive areas which are covered are: obstruction of justice, perjury, bribery and gratuities, mail and wire fraud, computer fraud, tax evasion, securities fraud, and money laundering.

This program is fully accredited by the Southern Association of Colleges and Schools Commission on Colleges and has obtained acquiescence from the American Bar Association (ABA).