Professional Certificate in Wealth Management App Compliance
-- ViewingNowThe Professional Certificate in Wealth Management App Compliance is a crucial course designed to meet the growing industry demand for experts who can ensure wealth management applications comply with regulations. This program equips learners with essential skills to navigate the complex world of wealth management app compliance, making them attractive to employers in finance, tech, and related fields.
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โข Unit 1: Introduction to Wealth Management App Compliance
โข Unit 2: Financial Industry Regulatory Authority (FINRA) Guidelines
โข Unit 3: Securities and Exchange Commission (SEC) Regulations
โข Unit 4: Anti-Money Laundering (AML) Compliance for Wealth Management Apps
โข Unit 5: Know Your Customer (KYC) Verification and Onboarding Processes
โข Unit 6: Data Privacy and Security in Wealth Management Apps
โข Unit 7: Investment Company Act of 1940 Compliance
โข Unit 8: Compliance with the USA PATRIOT Act
โข Unit 9: Cybersecurity and Wealth Management Apps
โข Unit 10: Compliance Risk Management and Best Practices
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