Common Examination Findings for Institutional Firms: 2019-2020 Update

Accreditation Wreath Icon AL
SKU: FIN8100
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Institutional business activities require supervisory controls in order to mitigate a variety of risks. This CLE course will explain the primary regulations and recommended strategies for implementing these controls as well as managing tools. The course will explain how to implement the debt research rule, institute informational barriers, define and discuss customer indications of interest and explain common concerns regarding conflicts clearance.

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