Professional Certificate in Securities: Regulatory Compliance
-- ViewingNowThe Professional Certificate in Securities: Regulatory Compliance is a comprehensive course that equips learners with critical skills necessary for success in the rapidly evolving financial services industry. This course is designed to meet the growing industry demand for professionals who can ensure adherence to complex and ever-changing regulatory frameworks.
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โข Introduction to Securities Regulation: Understanding the legal and regulatory framework governing the securities industry, including key legislation and regulations such as the Securities Act of 1933 and the Exchange Act of 1934.
โข Regulatory Bodies and their Roles: Overview of the regulatory bodies responsible for enforcing securities laws, including the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulators.
โข Registration and Reporting Requirements: Compliance with registration and reporting requirements for securities offerings, including registration statements, prospectuses, and ongoing reporting obligations under the Securities Exchange Act of 1934.
โข Anti-Money Laundering (AML) and Know Your Customer (KYC): Understanding and implementing AML and KYC policies and procedures to prevent financial crimes, including terrorist financing and securities fraud.
โข Insider Trading and Confidentiality: Compliance with insider trading laws and regulations, including prohibitions on trading on material nonpublic information and maintaining confidentiality of sensitive information.
โข Supervision, Recordkeeping, and Compliance Programs: Establishing and maintaining effective supervision, recordkeeping, and compliance programs to ensure ongoing compliance with securities regulations.
โข Examinations and Enforcement Actions: Preparing for and responding to regulatory examinations and enforcement actions, including understanding the examination process, responding to deficiencies and allegations, and negotiating settlements.
โข Ethics and Professional Responsibility: Understanding ethical considerations and professional responsibilities in the securities industry, including conflicts of interest, fiduciary duties, and ethical decision-making.
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