Enforcement Initiatives, Developments and Priorities

Accreditation Wreath Icon AL
SKU: FIN4200
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

FINRA’s newly restructured Enforcement department, its workings and the various enforcement groups comprised will be the focus of this informative CLE course. The course will highlight recently-implemented changes to business processes and trends in enforcement as well as the principles that guide them. Panelists will present crucial settlements that illustrate FINRA’s top priorities, offer guidance on regulatory and compliance procedures and provide insight on managing enforcement investigations and disciplinary processes. Customer restitution, risk-based decision making, duplication avoidance, liability and cooperation credit and effective response to violations will all be discussed.
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