Indiana CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Indiana. Please make your selection below of Indiana CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
Indiana CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Approved CLE Sponsor (106648) by the Indiana Commission For Continuing Legal Education. To view our full accreditation details please .
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Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info
$291.1General Credits -
Defining Antitrust Markets in Platform Industries
Designed to update generalists, anti-trust practitioners and inside counsel on the lower courts’ interpretation and application of Ohio v. American Express as it relates to defining antitrust markets involving platforms, this informative CLE course offers a brief but high level overview of antitrust law in the US. Taking into account the impact of the Supreme Court decision in this landmark case and the degree to which platforms have occupied the antitrust spotlight, the course will review the... More Info
$291.2General Credits -
Detecting, Preventing and Investigating Fraud and Misappropriation
Regulators on the front lines of securities fraud offer information on current fraud schemes and potential threats in this riveting CLE course. The course will explain how to identify potential dangers associated with financial fraud and who to turn to when you suspect fraud. More Info
$291General Credit -
Disclosure Innovations and Digital Marketing Compliance
With the recent publication of FINRA”s Regulatory Notice 19-31 concerning Disclosure Innovations in Advertising and Other Communications with the Public, even seasoned attorneys need an update. This CLE course will offer insights by industry and FINRA experts on how firms can facilitate simpler and more effective disclosure in digital marketing and other forms of advertising. Presenters will review how firms are using technology to transform their customer interactions within the compliance ru... More Info
$291General Credit -
Doing More With Less: Challenges of a Small Firm Compliance Department
This CLE course will explain how to mitigate regulatory risk while simultaneously fulfilling your duties as officers of the firm. The course will explain how to create a fiscally responsible compliance program and how to ensure commitment to its policies. Presented by FINRA staff and industry practitioners, the course will explain both how to assess and avoid potential risk situations as well as allocate resources for the establishment of a compliance program. The course will cover iss... More Info
$290.9General Credit -
Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO
This CLE course will offer a comprehensive overview of what lawyers and bankers confront during the marketing and distribution process of IPO’s. The course will address potential pitfalls and issues that may arise and provide real-life examples of the many hurdles that could potentially jeopardize your success. Learn about what faces you in the IPO underwriting process and ensure yours and your client's success by anticipating problems and acting strategically. More Info
$551.8General Credits -
Effective Corporate Governance and Oversight
Designed to define and illustrate the impact of corporate governance and oversight in preventing governmental prosecution and enforcement, this CLE course will explain the role that boards of directors, senior management and others in an organization to create an effective corporate governance and oversight structure. The course will also explain ethics programs and enterprise risk management frameworks that these structures may require as well as the types of “independent” directors that a bo... More Info
$291.3General Credits -
Effective Processes for Suspicious Activity Monitoring and Investigations
This fascinating and timely CLE course provides guidance on suspicious activity monitoring and investigations in anti-money laundering. Panelists will provide a firm understanding of the AML regulations and program requirements, best practices for identifying and reporting suspicious activity, evaluate firm procedures and stay updated on AML regulations expectations. More Info
$291General Credit -
Enforcement Developments
This CLE course will explain recent updates and developments in enforcement. The course will focus on enforcement priorities and how an issue might find its way to enforcement and the process it undergoes including regulatory and compliance practices. The course will also present important decisions and settlements that offer insight into the process and illustrate the priorities of FINRA. More Info
$291General Credit -
Enforcement Initiatives, Developments and Priorities
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 investigation... More Info
$291General Credit
