This course explores the ethical issues in the financial services industry and the legal and regulatory frameworks that govern the financial system. It provides students with a critical understanding of the ethical issues confronting financial professionals and a broad and in-depth knowledge of the legal and regulatory issues in the financial services industry. Students will leave this course with the relevant knowledge of the legal and regulatory environment in which business operates and the ability to develop the framework necessary to make proper ethical decisions. Particular attention is paid to the knowledge areas covered in the Certified Regulatory Compliance Manager (CRCM) exam offered by the American Bankers Association.