New York CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for New York. Please make your selection below of New York 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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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
$501Prof Practice -
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Cybersecurity compliance concerns have emerged as a forefront issue for both large and small enterprises. Revisions of three important standards or requirements were published recently and will have far reaching cybersecurity compliance implications. The National Institute of Standards and Technology (NIST) released Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), the Payment Card Industry Security Standards Council published PCI-DSS 4.0, and... More Info
$501Cybersecurity -
Defining Antitrust Markets in Platform Industries
The effects of the Supreme Court’s landmark antitrust decision in Ohio v. American Express continue to reverberate. Platforms have occupied the antitrust spotlight for several years now, but litigation unpacking and applying Amex to platforms is still in its early stages. This CLE course is designed to update generalists, antitrust practitioners, and inside counsel alike on how lower courts are interpreting and applying Amex when defining antitrust markets involving platforms. The prog... More Info
$501Prof Practice -
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
$501Prof Practice -
Disclosure Innovations and Digital Marketing Compliance
This CLE lecture will educate you about FINRA’s recently published Regulatory Notice 19-31, Disclosure Innovations in Advertising and Other Communications with the Public. Industry and FINRA experts share insights into how firms can facilitate simplified and more effective disclosure in digital marketing and other advertising. The panel also covers how firms are using technology to revolutionize the way they interact with customers while staying in compliance with FINRA and SEC (Securities... More Info
$501Prof Practice -
Doing More With Less: Challenges of a Small Firm Compliance Department
Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info
$501Prof Practice -
Effective Processes for Suspicious Activity Monitoring and Investigations
This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization. After attending this session, you will be able to: Understand AML program requirements. Discuss efficient practices on identifyi... More Info
$501Prof Practice -
Enforcement Developments
This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info
$501Prof Practice -
Enforcement of Judgments in New Jersey and New York
Success in every case ultimately comes down to a collection. Obtaining a Judgment is only half the battle. A client who obtains a Judgment in his/her favor whether by default, motion or trial will not be made whole unless steps are taken to ensure the Judgment is paid. Join attorney Jeffrey H. Ward as he discusses mechanisms for collecting Judgments that are entered in the Courts of New Jersey and New York. Mr. Ward begins with a review of how Judgments can be entered in both states. Th... More Info
$501Prof Practice -
Estate Tax Repeal Is Not a Temporary or Permanent Certainty: How to Plan Now
The future of the gift, estate and GST tax system is uncertain. The Trump administration might repeal the estate and GST tax (although it is not clear that there is an intent to repeal the gift tax), provide for a capital gains tax on death (and perhaps a capital gains tax on gift), provide for a carryover basis at death, or some other variation of these. Many estate planners have suggested that clients put most planning on hold pending the outcome. Other advisers have suggested completing low... More Info
$501Prof Practice