Corporate Governance in US & UK: Principles & Compliance

Overview

This course provides an in-depth exploration of corporate governance frameworks as practiced in the United States and the United Kingdom, with a specific focus on financial institutions and regulatory compliance. Learners will define, analyze, and evaluate key concepts such as stakeholder roles, governance structures, risk oversight, and board accountability. Through a structured two-module format, the course first builds foundational knowledge of corporate governance systems, emphasizing board responsibilities, stakeholder relationships, and governance failures. The second module deepens this understanding through global frameworks such as the Basel Committee on Banking Supervision (BCBS) principles, Sarbanes-Oxley (SOX), Dodd-Frank Act, and the UK Corporate Governance Code. By the end of the course, learners will be able to critically assess governance practices, compare international legal standards, and recommend best practices for improving transparency, board effectiveness, and ethical conduct across corporate environments.

Syllabus

Foundations and Systems of Corporate Governance

This module introduces the foundational concepts and frameworks of corporate governance as practiced in the US and UK markets. It covers the roles and responsibilities of stakeholders, the principles of accountability and ethical oversight, the structure of corporate governance systems in the United States, and real-world governance failures. Learners will also explore the critical importance of regulatory frameworks and the evolving nature of corporate governance in ensuring organizational integrity and transparency.

Principles and International Comparisons

This module explores advanced principles and legal frameworks that shape corporate governance in the banking sector and broader corporate environment. It delves into internationally recognized regulatory guidelines such as the BCBS principles for financial institutions, and major legislative reforms including the Sarbanes-Oxley Act (SOX), Dodd-Frank Act, and the UK Corporate Governance Code. Learners will gain insight into the application of governance standards across jurisdictions, the importance of risk oversight, transparency in executive compensation, and the structural roles of boards in compliance and ethical conduct.