Institutional Sales and Trading Compliance Concerns: 2017 FINRA Annual Conference

MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

Course Media Options

About This Course

This CLE program will highlight institutional fixed income and equity sales and trading compliance concerns and related risk controls. Compliance professionals in these business lines face an array of challenging issues, everything from conflicts of interest to rogue and manipulative activity, which present varying levels of risk to their firms. After attending this session, you will be able to understand the business issues and regulatory concerns they confront on a daily basis and the most effective controls to minimize those risks.

After attending this session, you will be able to:

  • Understand the types of controls that can be used to mitigate risk associated with the various conflicts of interest that can exist within and across business lines as well as those arising from employee activities.
  • Discuss industry practices for supervising the operation of a firm’s institutional trading and the impact inadequate supervision and controls can have in terms of impacting the firm’s institutional business operations and the operations of other related departments.
  • Identify common practices, procedures and policies.
  • Review recordkeeping requirements.
  • Understand the need for informational barriers.
  • Discuss recent enforcement actions.

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options