High-Risk Activity Impacting Retail Investors

Accreditation Wreath Icon AL
SKU: FIN7900
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can be mitigated as early as the hiring process, include risk assessment as part of ongoing supervision and how the data accumulated can be utilized broadly. Using real-life example, the course will provide practical strategies for addressing high risk activity.
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