About This Course
This CLE program will provide guidance on the challenges facing compliance professionals in today’s environment and effective practices for fulfilling the requirements as the second line of defense. Join FINRA staff and industry practitioners as they discuss how firms are addressing the changes to the compliance function.
After attending this session, you will be able to:
- Compare and contrast the distinction between the first and second lines of defense.
- Understand the challenges facing compliance professionals.
- Implement effective practices related to a culture of compliance and conflicts of interest framework.
FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.