Legal Compliance Management

CML5660F

THIS COURSE IS NOT ON OFFER IN 2013

Course Co-ordinator: to be advised

Course Overview:

Higher postgraduate course, first semester. Two one-week sessions (25 lectures per week) during the semester.

Prerequisites:
See Rules for LLM and MPhil Degrees and Postgraduate Diplomas. Diploma Certificate course in Legal Compliance Management offered by UCT.

Objectives:
The main objectives of this course are to provide the student with:

• an appreciation of the relationship between good corporate governance, compliance and risk management
• an appreciation of the importance of the compliance function in a financial institution
• a knowledge of the operation of reliable and effective systems to manage and minimise the risk of material compliance failures
• the opportunity to acquaint yourself with the regulatory framework that governs financial institutions in South Africa.

Course outline:

• Selected aspects of Interpretations of statute
• Selected aspects of corporate governance
• Overview of selected new legislation
• The South African regulatory framework
• Enterprise-wide risk management
• Compliance policy
• Compliance strategy
• Compliance governance structures
• The compliance framework
• Compliance risk management.

DP requirements:
Attendance at and participation in lectures. Completion of written assignment(s).

Assessment:
One (or more) written assignments: 40%
Examination: 60%