Fall 2023 Enterprise Risk Management PS5520 section 001

RISK REGULATIONS IN FINANCE

Call Number	11471
Day & Time Location	T 6:10pm-8:00pm 503 Hamilton Hall
Points	3
Grading Mode	Standard
Approvals Required	None
Instructor	Jean Michel Ngalikpima
Type	LECTURE
Method of Instruction	In-Person
Course Description	This course examines post-financial crisis regulations including Basel III, Fundamental Review of the Trading Book (FRTB), Dodd-Frank Act, Supervision and Regulation Letter 11-7 (SR 11-7), and others. Case studies will explore the technical details of these new rules; and guest lectures from industry experts will bring the material to life. Areas of focus include: model risk management, stress testing, derivatives, and insurance. By the end of this course students will be able to: Evaluate the purpose and limitations of risk regulations in finance. Identify and communicate weaknesses in a financial firm. Communicate with regulators. Understand Recovery and Resolution Plans or “Living Wills” for a financial firm.
Web Site	Vergil
Department	Enterprise Risk Management
Enrollment	41 students (50 max) as of 10:06AM Thursday, October 30, 2025
Subject	Enterprise Risk Management
Number	PS5520
Section	001
Division	School of Professional Studies
Open To	Professional Studies
Note	ON-CAMPUS. ERM STUDENTS. OPEN TO SPS ON 9/5.
Section key	20233ERMC5520K001