Certificate in Investment Compliance Essentials
-- ViewingNowThe Certificate in Investment Compliance Essentials is a comprehensive course designed to equip learners with the critical skills needed to excel in the investment compliance industry. This program focuses on regulatory compliance, risk management, and ethical decision-making, providing a solid foundation for professionals seeking to advance their careers.
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โข Introduction to Investment Compliance: Understanding the regulatory landscape, the role of a compliance officer, and the importance of investment compliance.
โข Regulatory Environment: An overview of the major regulatory bodies (e.g., SEC, FINRA, etc.) and their impact on investment compliance.
โข Investment Company Act of 1940: Key provisions and requirements for investment companies and their advisers.
โข Investment Advisers Act of 1940: Registration, recordkeeping, and fiduciary duties of investment advisers.
โข Compliance Programs: Designing, implementing, and maintaining effective compliance programs.
โข Code of Ethics: Development, implementation, and enforcement of a code of ethics for investment companies and advisers.
โข Trading and Market Operations: Best execution, soft dollars, and restrictions on principal trading.
โข Anti-Money Laundering (AML): Overview of AML regulations, customer identification, and suspicious activity reporting.
โข Compliance Risk Assessment: Identifying, assessing, and managing compliance risks.
โข Examinations, Investigations, and Enforcement Actions: Preparing for regulatory examinations, understanding potential enforcement actions and consequences.
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