This course will review recent Anti-Money Laundering developments including regulatory guidance from the securities and banking industries, FATF cryptocurrency guidance, enforcement actions, a new FinCEN department and several case studies including the Danske Bank AML case and the US' Mueller report. By the end of the course, students will have a better understanding of the front-end of the regulatory environment and how money laundering is detected and prosecuted in modern cases.
This course reviews the SEC's Regulation Best Interest standard and its associated materials, including Form CRS, the Investment Adviser Interpretation, and the Solely Incidental Interpretation. The course additionally breaks down several key terms surrounding Reg BI as well as the obligations firms have under this new standard of conduct.
This course examines various targets and types of cyber-attacks, their threat to the financial industry, regulatory measures to prevent cyber-crimes and practical steps toward cybersecurity. The course also provides practical advice for investment advisors on steps to reduce risk, as well as the consequences to firms for failing to protect against cybersecurity threats.
This course is appropriate for anyone working in the securities industry. It begins with a look at ethical issues facing the industry, and briefly defines ethical standards and why they are important. The course then gives an overview of the regulatory requirements from FINRA and the SEC that are designed to promote ethical standards and provides examples of recent charges. The course concludes with the understanding that rules and regulations alone are not enough to ensure ethical behavior.
This course is intended for registered representatives, investment advisors, compliance staff and supervisors that are responsible for working with clients. This course provides an overview of ethics, distinguishing between moral codes and ethical does, discussing conflicts of interest, and understanding ethics in the real world. Additionally, the course covers the components of an ethical system including ethical behavior, ethically protecting the family, professional ethics, personal ethics, ethical sales decisions, agent ethics, agent competency and the importance of ethics when working with customers.
This course is intended for registered representatives, investment advisors, compliance staff and supervisors that are responsible for working with clients. This course provides an overview of the characteristics of ethics and professionalism. Topics include the standards by which a professional should be judged, as well as a study of ethics on its philosophical and compliance levels.
This course is designed to cover basic compliance requirements of investment advisers, as required by the Investment Advisers Act of 1940 ("Advisers Act") as well as other applicable regulatory requirements. This course serves as educational and informational for novice investment adviser representatives, including those just joining an RIA or starting a new firm. This course also services as a healthy refresher for experienced advisors.
This course covers the SEC's Marketing Rule and its impact on advisors; including conditions surrounding investment performance advertising, testimonials and endorsements and prohibited practices. By the end of the course, learners will be able to effectively summarize the new marketing rules key components.
In this course, investment advisers discover how the investment recommendations they make to their clients directly impact their fiduciary obligations. Advisors will explore tools they can use to conduct suitability analyses, learn about the impact of recommending high-risk investments, and understand what actions may cause a client's portfolio to be unsuitable.
This course covers the SEC's New Marketing Rule and its impact on advisors; including conditions surrounding investment performance advertising, testimonials and endorsements and prohibited practices. By the end of the course, learners will be able to effectively summarize the new marketing rules key components.