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| 09/06 - 12/21 | ||||||
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Subject: Law (Grad) (LAWS)
CRN: 43974
Online: Asynchronous | Lecture
Minneapolis: In Person
Requirements Met:
LLM/MSL Elective
This is an advanced course offered 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 purpose of this course is to provide students with advanced skills in broker-dealer and investment adviser securities compliance as well as preparation for the Certified Securities Compliance Professional (CSCP) designation. Topics covered include Compliance Programs, Ethics, Conflicts of Interest, Policies and Procedures, Policy Testing, Surveillance and Risk Assessments, Risk Management, Filings, and Books and Records.
3 Credits