Institutional Sales and Trading Compliance Concerns: 2017 FINRA Annual Conference

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Arizona MCLE
Accreditation Info

Attorneys may earn all 15 Arizona CLE credits from the United Institute for Continuing Legal Education. Our online courses satisfy the State Bar of Arizona Regulations “Interactive CLE” definition. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This CLE program will highlight institutional fixed income and equity sales and trading compliance concerns and related risk controls. Compliance professionals in these business lines face an array of challenging issues, everything from conflicts of interest to rogue and manipulative activity, which present varying levels of risk to their firms. After attending this session, you will be able to understand the business issues and regulatory concerns they confront on a daily basis and the most effective controls to minimize those risks. Topics discussed: After attending this session, you will be able to: • Understand the types of controls that can be used to mitigate risk associated with the various conflicts of interest that can exist within and across business lines as well as those arising from employee activities. • Discuss industry practices for supervising the operation of a firm’s institutional trading and the impact inadequate supervision and controls can have in terms of impacting the firm’s institutional business operations and the operations of other related departments. • Identify common practices, procedures and policies. • Review recordkeeping requirements. • Understand the need for informational barriers. • Discuss recent enforcement actions.
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