FINRA’s Examination and Risk Monitoring Program

Accreditation Wreath Icon AL
SKU: SEC001
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

A firm grouping structure and the process of implementing it are fraught with issues. This CLE course will explain the lessons learned during this process and what firms can expect in the future.

The course will explain how to understand new organizational structures in the exam, specialist and risk monitoring programs and review risk monitoring activities.

The course will present what expectations you should have form the exam program and planning process and provide information on the role of specialists in exams and risk monitoring.

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