Doing More With Less: Challenges of a Small Firm Compliance Department

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New York CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Accredited NYS CLE Provider. To view our full accreditation details please .

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All Courses Available iOS/Android Web

About This Course

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 issues such as risk, cost and need, non-compliance expenses budget, researching vendors and other resources including experienced compliance professionals.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

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