COMPLIANCE PORTAL KEYWORDS

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This is our present offer of courses. More will be added over the coming months. Click a course title to know more about it. Click a shopping cart to purchase a course.

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Anti-Money Laundering - Securities Dealers, Part 1: Legislative & Regulatory Requirements
1 CE Hr
$55.00
Anti-Money Laundering - Securities Dealers, Part 2: Compliance and Suspicious Activities
1 CE Hr
$55.00
Anti-Money Laundering - Securities Dealers, Part 3: Refresh and "BDSC's Case"
1 CE Hr
$55.00
Anti-Money Laundering - Securities Dealers, Part 4: Refresh and the TVC case
1 CE Hr
$55.00
Anti-Money Laundering - Securities Dealers, Part 5: Refresh and the Case of the Tobacco Farm
1 CE Hr
$55.00
Broker-Client Conflicts of Interest, Part 1: General Applications
1 CE Hr
$55.00
Broker-Client Conflicts of Interest, Part 2: Exercising Judgement
1 CE Hr
$55.00
Brokers as Gatekeepers: Challenges and Responsibilities
1 CE Hr
$55.00
Exchange Traded Funds (ETF)
1 CE Hr
$55.00
Importance of the NAAF
1 CE Hr
$55.00
Non-Individual Accounts
1 CE Hr
$55.00
Privacy
1 CE Hr
$55.00
Privacy, Part 2: Refresh and "BDSC's Case"
1 CE Hr
$55.00
QI: Making It Work, Part 1
3 CE Hrs
$165.00
QI: Making It Work, Part 2
2 CE Hrs
$110.00
Total: 15 Courses

Coming Soon

Courses in development or under consideration include: Privacy, Fraud (Parts 1 and 2) as well as courses on institutional accounts and trading. Let us know if you have any ideas for future courses.