Compliance Essentials: Weeklong Program
| Cost |
Members - $4,400 Non-Members - $5,300 |
|
| Duration | 5 Days | |
| Time | 8:30 am – 4:30 pm | |
| CRCP Credits | 30 | |
| CPE Credits | 35 | |
| CPE Course Type | Overview | |
| Location | Date | Code |
| Hollywood, FL | Nov 30–Dec 4 | CLP292- Register Online Now |
| Venues | ||
| The Westin Diplomat Hotel 3555 S. Ocean Drive Hollywood, FL 33019 |
||
Other Registration Options & Cancellation Policy
November 2009 Course Agenda (PDF 69 KB)
FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Candidates who enrolled in the program after January 2007 are required to complete this course in order to meet the Phase II CRCP requirement.
Course Description
This course covers the material from four separate classroom learning courses: Internal Risk Assessments of Broker-Dealer Firms, Responding to Regulatory Inquiries and Preparing for Regulatory Examinations, and Supervision in the Securities Industry I and II. Refer to individual course descriptions for details.
After completing this course, you will be able to:
- Describe broker-dealer structures and responsibilities
- Compare and contrast market, credit, settlement, liquidity, operational, legal and reputational risks
- Understand how to conduct internal audits, reviews and risk assessments
- Establish supervisory systems, written supervisory procedures and supervisory control systems
- Explain recordkeeping requirements under SEC and FINRA rules
- Conduct branch office supervision activities
- Describe how to conduct the Chief Compliance Officer (CCO) annual certification
- Explain the regulatory requirements governing hiring of registered persons
- Know when and how to supervise outside securities transactions
- Describe how supervisory practices, surveillance activities and inspections are used collectively for supervision of sales and trading practices
- Detect and prevent sales and trading practice abuses
- Describe regulatory inquiries, examinations and enforcement investigations
- Respond effectively to regulatory requests
- Identify current FINRA examination priorities and common findings
- Understand formal actions, disciplinary proceedings and sanctions
- Conduct internal investigations and establish effective investigation strategies
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
