Certificate in Securities: Regulatory Compliance

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The Certificate in Securities: Regulatory Compliance is a comprehensive course designed to prepare learners for a rewarding career in the financial services industry. This program focuses on essential regulatory compliance knowledge, ensuring that learners understand the rules and regulations that govern the securities industry.

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AboutThisCourse

With the increasing demand for skilled compliance professionals, this course equips learners with the skills necessary to mitigate risks, ensure organizational adherence to laws, and protect investors. By earning this certificate, learners demonstrate a commitment to professional growth and a solid foundation in securities regulations. This course provides a strong career foundation and is ideal for those interested in regulatory compliance, risk management, or advancing their current compliance roles.

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CourseDetails

• Introduction to Securities Regulations
• The Securities Act of 1933 and the Securities Exchange Act of 1934
• Regulatory Authorities: SEC, FINRA, and State Securities Regulators
• Registration and Exemption of Securities Offerings
• Anti-Fraud Provisions and Insider Trading Regulations
• Compliance and Reporting Requirements for Public Companies
• Broker-Dealer Regulation and Compliance
• Investment Adviser Regulation and Compliance
• Supervision, Risk Management, and Internal Controls in Securities
• Enforcement and Penalties for Securities Law Violations

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EntryRequirements

  • BasicUnderstandingSubject
  • ProficiencyEnglish
  • ComputerInternetAccess
  • BasicComputerSkills
  • DedicationCompleteCourse

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  • NotAccreditedRecognized
  • NotRegulatedAuthorized
  • ComplementaryFormalQualifications

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CourseFee

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FastTrack GBP £140
CompleteInOneMonth
AcceleratedLearningPath
  • ThreeFourHoursPerWeek
  • EarlyCertificateDelivery
  • OpenEnrollmentStartAnytime
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StandardMode GBP £90
CompleteInTwoMonths
FlexibleLearningPace
  • TwoThreeHoursPerWeek
  • RegularCertificateDelivery
  • OpenEnrollmentStartAnytime
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  • FullCourseAccess
  • DigitalCertificate
  • CourseMaterials
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CERTIFICATE IN SECURITIES: REGULATORY COMPLIANCE
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London School of International Business (LSIB)
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05 May 2025
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