Certificate in The Essentials of Investment Compliance
-- ViewingNowThe Certificate in The Essentials of Investment Compliance is a comprehensive course that provides learners with a solid understanding of investment compliance principles. This program is crucial in an industry where regulatory requirements are constantly evolving, and it is essential to ensure adherence to prevent financial penalties and protect a firm's reputation.
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⢠Introduction to Investment Compliance: Understanding the regulatory landscape, the role of a compliance officer, and the importance of investment compliance in financial institutions.
⢠Compliance Risk Management: Identifying, assessing, and mitigating compliance risks, including regulatory, reputational, and financial risks.
⢠Code of Ethics and Conduct: Developing and implementing a code of ethics and conduct for investment professionals, addressing conflicts of interest and personal trading policies.
⢠Compliance Monitoring and Testing: Designing and implementing a compliance monitoring and testing program, including surveillance, audits, and reviews.
⢠Regulatory Filings and Reporting: Preparing and submitting regulatory filings and reports, including Form ADV, Form PF, and other SEC and FINRA filings.
⢠Anti-Money Laundering (AML) and Know Your Customer (KYC): Understanding and implementing AML and KYC policies and procedures, including customer identification programs, suspicious activity reporting, and transaction monitoring.
⢠Marketing and Advertising Review: Reviewing and approving marketing and advertising materials for compliance with regulatory requirements, including the use of social media.
⢠Compliance Training and Communication: Developing and delivering compliance training and communication programs for investment professionals and other employees, including annual compliance certifications.
⢠Investment Company Compliance: Understanding and complying with the Investment Company Act of 1940 and its rules, including registration, disclosure, and reporting requirements.
⢠Broker-Dealer Compliance: Understanding and complying with the Securities Exchange Act of 1934 and its rules, including registration, supervision, and reporting requirements.
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