Missouri MCLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for Missouri. Please make your selection below of Missouri 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.

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

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  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Evolution of Branch Office Inspections

    Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics. Amidst a rapidly evolving regulatory landscape, our distinguished speakers will provide invaluable insights into the impact of FINRA inspections and other regulatory developments. Del... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Firm Perspective on Monitoring and Protecting Against Financial Crimes

    Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities Provide tips to identify potential “red flags” for fraud and insider tr... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Broker Lien Rights: What Attorneys Need to Know

    This CLE course offers an overview of commercial real estate broker lien rights in 34 states, taught by a 46 year attorney who authored or lobbied on behalf of roughly half of those statutes. Topics addressed include the scope of commission claims which are protected, legislative history, the prerequisites for the lien claim, timing, and key tips on enforcement. Hear from the author of these statutes and his 31 years of lien practice in multiple states, from drafting the lien, assertin... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Current Trends and Threats in Financial Crimes

    In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions. More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Financial Responsibility Rules and Relevant Touchpoints

    In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid lending. More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Private Placements: The Latest Regulatory Developments and Compliance Considerations

    Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. This session will discuss: Review regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

    This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of antitrust regulations in the US and the role of antitrust agencies in reviewing and challenging mergers. The course will begin by exploring the fundamentals of US merger control process, inclu... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Preparing a Business Client to Franchise

    This CLE course is designed as a basic course to assist counsel representing a client who wants to franchise. We will discuss some practical considerations to help the client understand if franchising is the right decision, the legal obligations of a franchisor, and discuss some of the key decisions a new franchisor will need to make. More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Introduction to Franchising Law

    This CLE course is designed as a basic course for counsel with limited knowledge of franchise law and will introduce the basic legal considerations in franchising, whether you are representing a franchisor or a franchisee. The course will discuss the legal definition of a franchise, review the federal and state laws governing the franchise relationship, where to find information regarding franchise brands, the dangers of becoming an accidental franchise, and introduce some legal consi... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Following the Money: A Primer on Fraudulent Transfer Litigation for the Uninitiated

    Collecting debts can become extremely difficult and complicated if the debtor decides to play dirty. Debtors facing large lawsuits may try to make themselves judgment-proof by giving away assets to friends, family and other insiders, leaving little or nothing for the creditor to take. This CLE course examines how to combat and unwind such “fraudulent transfers” under the Uniform Fraudulent Transfer Act (“UFTA”). Additionally, this course will cover the nuts and bolts of avoidance... More Info

    $50
    1.2General Credits

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