Professional Certificate in Securities: Compliance Best Practices
-- ViewingNowThe Professional Certificate in Securities: Compliance Best Practices is a comprehensive course designed to empower learners with the essential skills required in the rapidly evolving financial compliance sector. This program emphasizes the importance of maintaining a strong ethical framework and implementing effective compliance programs in the securities industry.
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โข Introduction to Securities Compliance: Understanding the regulatory landscape, compliance roles and responsibilities, and key industry terminology.
โข Regulatory Environment: Overview of SEC, FINRA, and other regulatory bodies, their rules and regulations, and their impact on securities compliance.
โข Compliance Program Development: Designing and implementing a comprehensive compliance program, including policies, procedures, and training.
โข Risk Management: Identifying, assessing, and mitigating compliance risks, including cybersecurity and data privacy concerns.
โข Supervision and Monitoring: Implementing supervisory controls and monitoring procedures to ensure ongoing compliance with securities regulations.
โข Trading and Market Operations: Understanding best execution, soft dollars, and other trading practices, as well as market manipulation and insider trading risks.
โข Advertising and Marketing: Compliant marketing and advertising practices, including social media and digital communications.
โข Anti-Money Laundering (AML) and Know Your Customer (KYC): Implementing AML and KYC programs to prevent financial crimes and ensure regulatory compliance.
โข Regulatory Filings and Reporting: Preparing and filing required regulatory reports, including Form ADV and Form PF.
โข Compliance Audits and Examinations: Preparing for and managing regulatory audits and examinations, including responding to deficiencies and enforcement actions.
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