Connecticut MCLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for Connecticut. Please make your selection below of Connecticut 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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  • Common Examination Findings and Compliance Effective Practices for Institutional Firms

    This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe... More Info

    $50
    1General Credit

  • Detecting, Preventing and Investigating Fraud and Misappropriation

    This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify potential red flags associated with different types of financial fraud. Know whom to contact to report potential fraud. More Info

    $50
    1General Credit

  • The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

    This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model. After attending this session, you will be able to: Compare and contrast t... More Info

    $50
    1General Credit

  • Working Together to Protect Senior Investors

    This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in protecting senior clients, and others who may experience signs of diminished capacity, from financial abuse. Panelists will share techniques around staff and advisor education as well as effect operational practices. After attending this session, y... More Info

    $50
    1General Credit

  • So Your Commercial Borrower Is In Default? Protecting your Security Interest

    Banks, commercial lenders, private investors and loan holders are confronted with a number of important decisions when business owners default on their loan obligations and/or fall behind on their mortgage payments for their commercial property. New Jersey has seen an influx of foreclosures over the recent years. One way that lenders can protect their security interests in their respective properties is by instituting foreclosure proceedings to recover the properties at issue and engage in var... More Info

    $125
    2.25General Credits

  • Cyan, Inc. v. Beaver Country Employees Retirement Fund: What it Means; What We Can Expect

    In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held that the Securities Litigation Uniform Standards Act (“SLUSA”) does not strip state courts of jurisdiction over class action law suits brought exclusively under the Securities Act of 1933 (the “1933 Act”). The Supreme Court additionally held that SLUSA does not permit removal of class action claims brought solely under the 1933 Act from state to federal cour... More Info

    $50
    1.25General Credits

  • Navigating the Purchase and Sale of a Financial Advisory Practice

    Many attorneys service clients who are brokers and/or financial advisers in connection with various aspects of their business. In doing so, such attorneys are generally tasked with being well-versed the regulatory, contractual and litigation concerns these particular clients face. Due to the constant evolution of the financial advisory space, practices change hands by way of sale and merger on a fairly regular basis. These transactions are incredibly nuanced, subject to regulatory consideratio... More Info

    $50
    1General Credit

  • Avoiding Legal Malpractice and Breach of Fiduciary Duty

    This CLE program presented by attorney Norman Arnoff, will discuss Legal Malpractice, Fiduciary Duty in the legal profession and how the legal profession's concepts and standards of fiduciary duty can be adapted to the capital markets and the financial services industry. He outlines the elements of legal malpractice (1) attorney client relationship; (2) breach of the duty of care; (3) causation ("but for" or proximate cause) and (4) cognizable economic damages (and not pain and suffering or d... More Info

    $75
    1.25Ethics Credits

  • Medicaid Planning and Trusts: Planning for Your Client’s Incapacity

    This informative CLE program presented by Ronald A. Fatoullah and Elizabeth Forspan will discuss the latest developments in Elder Law and Medicaid planning including eligibility rules and common techniques used to protect assets against the prohibitive cost of long term care. The course will also discuss the tax consequences of Medicaid Trusts including income taxes, estate taxes and real estate tax exemptions as well as transfers of real property, liquid assets and basis issues. More Info

    $125
    2.25General Credits

  • Insurance as a Tax, Financing and Capital Solution

    Clients depend on their lawyers for creative solutions to risks they face in their day-to-day business, and to resolve roadblocks that prevent important transactions from closing. In this CLE course, Kenneth R. Pierce discusses the use of specialty insurance products to indemnify clients for potential tax liability, to facilitate the financing of alternative assets, and as a form of balance sheet capital for certain regulated companies. “Reps and warranties” insurance is now a standar... More Info

    $100
    1.75General Credits

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