Half-Day Compliance Boot Camp
Enrollment is now open. Space is limited and available on a first-come, first-served basis.
| Cost |
Members - $195 Non-Members - N/A |
|
| Duration | 1/2 Day | |
| Time | 8:00 am – 12:00 pm | |
| Location | Date | Code |
| Kansas City, MO | November 18 | CL0497 |
The half-day version of Compliance Boot Camp focuses on the regulatory environment, written supervisory procedures and interaction with regulators. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one to two weeks before the session. This course is designed for new compliance professionals.
After completing this program, you will be able to:
- Identify key regulatory entities and their respective responsibilities
- Understand how to create and support a compliance culture at your firm
- List the elements to include in Written Supervisory Procedures (WSPs)
- Identify and respond to internal and external triggers that warrant updates and revisions to WSPs
- Identify FINRA examination priorities
- Communicate effectively with regulators during an exam or other regulatory inquiry
- Use FINRA compliance resources
Classroom Session Agenda
| 8:00 a.m. – 8:30 a.m. | Registration and Continental Breakfast |
| 8:30 a.m. – 9:10 a.m. |
Session 1 – Introduction
|
| 9:10 a.m. – 10:15 a.m. |
Session 2 – Drafting and Maintaining Written Supervisory Procedures (WSPs)
|
| 10:15 a.m. – 10:30 a.m. | Break |
| 10:30 a.m. – 11:10 a.m. |
Session 2 – Drafting and Maintaining WSPs (cont’d)
|
| 11:10 a.m. – 12:00 p.m. |
Session 3 – Interacting with Regulators
|
| 12:00 p.m. | Adjourn |
Location Information
Kansas City
FINRA Kansas City District Office
12 Wyandotte Plaza
120 West 12th Street, Suite 800
Kansas City, MO 64105-1930
How to Enroll
| Online | Online enrollment is for credit card transactions ONLY. To enroll using this method, complete the online enrollment form: Kansas City, MO, November 18. |
| Print out and complete the downloadable enrollment form. Please be sure to select the program that you plan to attend. Send payment and form to the address below with a check made payable to FINRA: FINRA Conference Registration Attn: FINRA Compliance Boot Camp Half-Day Program P.O. Box 7777-W8440 Philadelphia, PA 19175-8440 |
|
| Fax | Fax enrollment is for credit card transactions ONLY. Fax the completed downloadable enrollment form to FINRA at (202) 728-6956. Please be sure to select the program that you plan to attend. |
| Phone | (212) 858-4119 |
Payment is required at the time you enroll. Enrollment without payment is considered incomplete. Also, enrollment forms may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and P.O. boxes will not accept courier or overnight deliveries.
Enrollment Confirmation: You will receive an email confirmation of your enrollment within two weeks of receipt of your completed form and payment. Please make sure your enrollment has been confirmed prior to your arrival onsite.
Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your enrollment confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.
Cancellation Policy: Refunds for registration, less a $75 processing fee, will be granted to written requests received up to day before the in-person program.
Questions: If you have questions, call (212) 858-4119.
Only The FINRA 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.
