New York CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for New York. Please make your selection below of New York 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.
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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Current Issues Under Regulation Best Interest and Form CRS
A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights delve into various perspectives, exploring firm effective practices and examination experiences to gain a comprehensive understanding of these regulatory frameworks. Within this forum, regulato... More Info
$291Prof Practice -
Current Trends and Threats in Financial Crimes
During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud, securities fraud, cybercrime, digital assets, and sanctions. More Info
$291Prof Practice -
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
$341Cybersecurity -
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
$291Prof Practice -
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
$291Prof Practice -
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
$291Prof Practice -
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
$291Prof Practice -
Enforcement of Judgments in New Jersey and New York
Obtaining a judgement in your favor is only a first step toward legal resolution. It’s an important one, obviously, but whether it comes by default, motion or trial, until that judgement is paid, the matter has not been resolved. This CLE course, which provides a thorough introduction for those seeking to collect a debt on their client’s behalf, will explain the mechanisms for collecting judgments in New York and New Jersey. The course will explain how judgments are entered in these states and... More Info
$291Prof Practice -
Estate Tax Repeal Is Not a Temporary or Permanent Certainty: How to Plan Now
With a variety of pending repeals and decisions on tax issues still undetermined, many estate planners have recommended that clients postpone decisions or initiate low risk planning until the estate and GST tax, capital gains upon death and other issues are resolved. However, in light of the recent True case, obvious decisions such as low gift tax exposure may not be so certain. This CLE course will offer guidance on estate planning in this volatile environment and how planners can help advise c... More Info
$291Prof Practice -
Ethical Considerations of Litigation Funding
Litigation funding, also known as legal funding, provides much needed assistance to accident victims. And yet, critics of the practice claim that it raises extensive ethical issues, and directly impacts the attorney client relationship and issues of privilege. This CLE course will explain litigation funding specifically as it applies to personal injury attorneys and their clients. The course will review the merits of assisting clients, analyze the secondary market that such funding creates, and... More Info
$341Ethics Credit
