Hot Topics in Securities Law: Part 2

SKU: FR8500

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and with Live Webinars!

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About This Course

This securities CLE series will provide you with a high-level overview of the latest developments in this area. Covering a wide variety of topics, this series includes the following topics:

Outsourcing and Vendor Management
Detecting, Preventing, and Investigating Fraud and Misappropriation
Institutional Sales and Trading Compliance Concerns
Lessons Learned From Recent AML Enforcement Actions
Outside Business Activities and Private Securities Transactions
Social Media and Digital Communication Trends: Mobile, Messaging and Beyond
Navigating the Clearing Firm Relationship
Consideration and Practices for Supervising Independent Contractors

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