Financial Compliance Certificate

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The online Financial Compliance Certificate program is offered to enrolled online LLM or online MSL students, as well as on a stand-alone basis. The program is structured especially for working professionals who wish to take one or two courses per term in an online format. Students are expected to enroll each semester until the program is completed.

The online Financial Compliance Certificate requires 12 units, including the required and elective courses listed below.

Admissions

Applicants to the certificate program must have earned an undergraduate degree, which can be in any field of study, prior to the time they begin the certificate program. Prior exposure to or experience in law is not required. The Admissions Committee will consider applicants’ grades, course work, work experience, and reasons for pursuing the certificate program when determining admission.

Required Courses

The following courses are required, at the units specified:

LAW 598 Regulatory Compliance Units: 2, 3 (2 units)
LAW 603 Business Organizations Units: 3, 4, 5 (4 units)

Elective Courses

Remaining units can be fulfilled in the following electives, at the units specified:

LAW 579 Global Regulatory Compliance Units: 2 (2 units)
LAW 613 Corporate Governance Units: 2 (2 units)
LAW 633 Business Principles in Law Units: 2 (2 units)
LAW 640 Financial Institution Regulation Units: 2 (2 units)
LAW 710 Contract Drafting and Analysis Units: 2, 3 (2 units)
LAW 749 Securities Regulation Units: 2, 3, 4 (2 units)