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Graduate Course Proposal Form Submission Detail - BUL5842
Tracking Number - 5069

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Current Status: Approved by SCNS - 2015-02-01
Campus: Tampa
Submission Type: New
Course Change Information (for course changes only):
Comments: Required - Certificate in Compliance, Risk, Anti-Money Laund. To Chair. GC approved; To USF sys 11/18/14; to SCNS 12/1. Delayed due to concurrence. Submitted 6/15/15. Approved effective 2/1/15

Detail Information

  1. Date & Time Submitted: 2014-09-22
  2. Department: Business Administration
  3. College: BA
  4. Budget Account Number: 140200
  5. Contact Person: Uday Murthy
  6. Phone: 8139746516
  7. Email:
  8. Prefix: BUL
  9. Number: 5842
  10. Full Title: Risk Management and Legal Compliance
  11. Credit Hours: 3
  12. Section Type: C - Class Lecture (Primarily)
  13. Is the course title variable?: N
  14. Is a permit required for registration?: Y
  15. Are the credit hours variable?: N
  16. Is this course repeatable?: Y
  17. If repeatable, how many times?: 1
  18. Abbreviated Title (30 characters maximum): Risk Management and Legal Comp
  19. Course Online?: B - Face-to-face and online (separate sections)
  20. Percentage Online: 0
  21. Grading Option: R - Regular
  22. Prerequisites:
  23. Corequisites:
  24. Course Description: This course is designed for non-accounting students who need to understand, monitor and control risks. The content of this course spans corporate governance, risk strategy and legal/regulatory compliance including analysis of significant laws/regulations.

  25. Please briefly explain why it is necessary and/or desirable to add this course: Needed for new program/concentration/certificate
  26. What is the need or demand for this course? (Indicate if this course is part of a required sequence in the major.) What other programs would this course service? Many corporations in the Tampa Bay region such as Citicorp, JP Morgan Chase, SunTrust, and Depository Trust Corporation have been requesting us to offer a certificate course in anti-money laundering, risk, and compliance. This course will provide students with the foundation necessary for other 6000 level courses that are part of the certificate program, such as Forensic Accounting and Legal Issues, and Information Technology Auditing.
  27. Has this course been offered as Selected Topics/Experimental Topics course? If yes, how many times? No
  28. What qualifications for training and/or experience are necessary to teach this course? (List minimum qualifications for the instructor.) Doctor of Jurisprudence (JD) degree or Ph.D./DBA, and significant experience in the field of white-collar crime and legal/regulatory compliance.
  29. Objectives: o obtain reasonable working knowledge of:

    I. Risk, legal compliance and corporate governance

    II. Risk management and strategies, including the definition of risk, types of risks, the six-step risk management strategy, and the categories of risk exposures.

    III. Legal and regulatory compliance issues, including the Sarbanes Oxley Act of 2002, the Dodd-Frank Wall Street Reform Act of 2010, money laundering techniques and statutes, bribery and the Foreign Corrupt Practices Act, and the foreign accounts tax compliance regulations.

    IV. Corporate governance and risk management issues, including creating a culture of honesty and high ethics, evaluating antifraud processes and controls, developing and appropriate oversight processes, and the special role of the audit function in corporate governance.

  30. Learning Outcomes: After successfully completing this course, students will have a good understanding of risks that organizations of all kinds must deal with, strategies for dealing with these risks, corporate governance issues, legal and regulatory compliance issues affecting businesses.
  31. Major Topics: I. Overview of risk, legal compliance, and corporate governance

    II. Risk management and strategies

    III. Legal and regulatory compliance issues

    IV. Corporate governance and risk management issues, including creating a culture of honesty and high ethics, evaluating antifraud processes and controls, developing and appropriate oversight processes, and the special role of the audit function in corporate governance.

  32. Textbooks: Readings will be assigned for each topic.
  33. Course Readings, Online Resources, and Other Purchases: The following readings have been identified (subject to change):

    Bainbridge, Understanding Sarbanes-Oxley (Adams 2007), ISBN 978-1-59869-267-9

    Coleman, A Practical Guide to Risk Management (CFA 2011), ISBN 978-1-934667-41-5

    Crouhy, Essentials of Risk Management (McGraw-Hill 2006), ISBN 0-07-142966-2

    Crumbley, Heitger & Smith, Forensic and Investigative Accounting (CCH 6th Ed. 2013),

    ISBN 978-0-8080-3487-2

    Madinger, Money Laundering A Guide for Financial Investigators (CRC 3rd Ed. 2011),

    ISNB 978-1-4398-6912-3

    Money, Power and Wall Street, Four Part Documentary,

    Strunk and White, The Elements of Style (4th Ed. 2000), ISBN0-205-30902-X

    Statement of Auditing Standards No. 99, (AICPA 2002)

  34. Student Expectations/Requirements and Grading Policy: Two examinations (80%), homework problems (10%), and two case studies (10%).
  35. Assignments, Exams and Tests: Homework problems, case studies, and two tests (midterm exam and a final exam).
  36. Attendance Policy: Course Attendance at First Class Meeting Policy for Graduate Students: For structured courses, 6000 and above, the College/Campus Dean will set the first-day class attendance requirement. Check with the College for specific information. This policy is not applicable to courses in the following categories: Educational Outreach, Open University (TV), FEEDS Program, Community Experiential Learning (CEL), Cooperative Education Training, and courses that do not have regularly scheduled meeting days/times (such as, directed reading/research or study, individual research, thesis, dissertation, internship, practica, etc.). Students are responsible for dropping undesired courses in these categories by the 5th day of classes to avoid fee liability and academic penalty. (See USF Regulation Registration - 4.0101,

    Attendance Policy for the Observance of Religious Days by Students: In accordance with Sections 1006.53 and 1001.74(10)(g) Florida Statutes and Board of Governors Regulation 6C-6.0115, the University of South Florida (University/USF) has established the following policy regarding religious observances: (

    In the event of an emergency, it may be necessary for USF to suspend normal operations. During this time, USF may opt to continue delivery of instruction through methods that include but are not limited to: Blackboard, Elluminate, Skype, and email messaging and/or an alternate schedule. Its the responsibility of the student to monitor Blackboard site for each class for course specific communication, and the main USF, College, and department websites, emails, and MoBull messages for important general information.

  37. Policy on Make-up Work: Make up exams will only be allowed for a valid reason (validity to be determined solely by the instructor) and then only if the student has notified the instructor in advance that the student cannot be present for the exam.
  38. Program This Course Supports: Graduate certificate in Compliance, Risk, and Anti-Money Laundering; MS in Cybersecurity-Information Assurance Concentration
  39. Course Concurrence Information: MS/MIS;


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