Common Examination Findings and Compliance Effective Practices for Institutional Firms

Accreditation Wreath Icon AL
SKU: FIN2600
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on preparing for the examination, the common deficiencies to be aware of, the examination process itself and how to facilitate it, and how to initiate procedural controls in response to the most common deficiencies noted.
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