Common Examination Findings for Institutional Firms: 2019-2020 Update

SKU: FIN8100

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About This Course

This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement to mitigate risks common to institutional firms. Upon completion of this CLE, you will be able to: Discuss regulatory change management; Implement the debt research rule; Summarize concerns regarding conflicts clearance; Understand how to put information barriers in place; Define and discuss customer indications of interest.

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