West Virginia CLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for West Virginia. Please make your selection below of West Virginia 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.

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West Virginia CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a presumptive provider of CLE in WV, approved by the WV State Bar. To view our full accreditation details please .

  • On-Demand
    Online & iOS/Android App

    Alternative Investments and Complex Products

    Alternative investments and complex products have changed dramatically over the past few years. This CLE course will explain why it’s important to understand product features, characteristics and particularly their supervisory challenges. The course will explain the latest regulatory developments which are relevant to these complex products and alternative investments as well as the due diligence requirements and industry practices when recommending REIT securities and private placemen... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    CFPB Formation, Powers and Enforcement

    The Consumer Financial Protection Bureau (CFPB), created as a response to reforms needed to prevent financial collapses such as that of 2008, is a new and independent regulator for all federal consumer protection laws. This CLE course will explain the mission of the CFPB, the statutes that it regulates, its structure and history and its impact on the lending and settlement services industries. This includes areas such as Qualified Mortgages, underwriting factors in ATR evaluations, Marketing Ser... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Closing Disclosure Under TRID

    Designed to prevent the overlap, inconsistencies, and discrepancies in the Real Estate Settlement Procedures Act (RESPA) and the Truth in Lending Act (TILA), TRID, a synthesis of the two, is now going into effect. This CLE course will provide a comprehensive assessment of the new laws, its history and development and how it will impact real estate transactions and closings in the future. Dan Wold is Senior Vice President and General Counsel for Old Republic National Title Insurance Company. D... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Common Examination Findings and Compliance Effective Practices for Institutional Firms

    In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on preparing for the examination, the common deficiencies to be aware of, the examination process itself and how to facilitate it, and how to initiate procedural controls in response to the most common deficiencies noted. More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Common Examination Findings and Effective Compliance Practices

    FINRA cycle examinations can be nerve-wracking. Be prepared with this comprehensive CLE course on the most deficiencies noted during examinations and best practices for taking corrective action and updating compliance procedures. The course will discuss the most common findings in regulatory areas, identify controls and processes to address deficiencies and evaluate regulatory areas that require attention. More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

    Focused specifically on medium and large firms, this CLE course addresses common deficiencies uncovered FINRA examination and proactive measures that can be taken in response to exam recommendations. Senior staff explain the exam process, how to facilitate it and best practices when undergoing the process. The course will explain techniques to strengthen the current compliance program and prepare for your next examination. More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $29
    1General Credit
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