New Hampshire MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for New Hampshire. Please make your selection below of New Hampshire 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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Market Structure: What Factors Are Driving Changes
During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective practices for reviewing and documenting best execution Discuss technology available to process trades More Info
$501General Credit -
Mortgage Mayhem: What Attorneys Need to Know About Loan Applicant Protections
The most confusing, time consuming, stressful and infrequent transaction your clients will face is purchasing a home. Because of this, most consumers simply check-out and become overly-reliant on the loan officer to protect their interests. Consumers say, “Let the experts handle it. I’m here for the coffee.” This is a mistake. A home loan is a “zero-sum” game for the loan officer – either the loan closes or it doesn’t. There is a commission or there isn’t. As a result, some loan officers stack... More Info
$501General Credit -
New Jersey Attorney Trust And Business Accounting Fundamentals
Attorneys practicing in the State of New Jersey lawyers are required by the Court Rules and the RPCs to maintain trust and business accounts. This informative CLE course focuses on the rules and ethics of establishing the required trust and business accounts and offers practical advice on how to maintain those accounts. The course will also offer tips and strategies to avoid the pitfalls and errors that many new attorneys encounter. More Info
$501General Credit -
Offshore Asset Protection: Exploring the Various Jurisdictions for Protecting your Clients' Assets
By many standards, the U.S. is the world’s most litigious society. Learn how to put your clients in a better position to survive a lawsuit. Offshore Asset Protection is often the best way to protect assets from frivolous claims and lawsuits. This course will cover how to use a multitude of jurisdictions such as the Cook Islands, Saint Kitts and Nevis, Switzerland, and Belize to protect your client’s assets. The course will discuss offshore asset protection, its purpose and why it is ne... More Info
$501General Credit -
Offshore Versus Domestic Asset Protection, What You Need To Know
Join our Asset Protection Attorney as he delves deep into an extensive examination of the most prevalent tools, both domestic and international, that can safeguard your clients' assets from legal disputes. This CLE session will encompass the following topics: Understanding Asset Protection and its vital role in today's increasingly litigious society. Tracing the historical evolution of the Asset Protection Industry. An exploration of the most commonly employed strategies for asset p... More Info
$501General Credit -
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program discusses the allegations against Samuel Bankman-Fried, the former CEO of a group of companies known as “FTX,” by the U.S. Department of Justice, the Securities and Exchange Commission and the Com... More Info
$501General Credit -
Overview of FinTech Regulation and Compliance
A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and regulatory regimes in the United States governing key aspects of financial services including banking, securities, funds, money transmission, commodities, and anti-money laundering, and how these affect the operations of FinTech companies.... More Info
$501General Credit -
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
$501General Credit -
Redefining Communications Compliance for the Digital Age
As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info
$501General Credit -
Remote Supervision
Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info
$501General Credit