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This is an advanced course in conjunction with the National Society of Compliance Professionals (NSCP). The certification obtained at the completion of the final exam distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices.

The focus of the course will be on Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulated financial services firms with a particular emphasis on Investment Advisers and Broker Dealers.  Topics covered will be Compliance Programs, Ethics, Conflicts of Interest, Policies and Procedures, Testing, Surveillance and Risk Assessments, Risk Management, Filings, and Books and Records.