
In today’s fast-changing regulatory environment, there’s little room for error. To protect your firm from regulatory risk, you need to educate staff at every level to successfully incorporate compliance into their day-to-day business operations.
Get Started Now!
Two Education Options: |
Three Education Options: |
SEC Code of Ethics: Understand the Requirements and Apply Best Practices
Online / 1:00 p.m. – 3:00 p.m. (ET)
A Guide to Ethical Decision Making and Lessons Learned From SEC Enforcement Cases
Online / 1:00 p.m. – 3:00 p.m. (ET)
Developing a Tailored IA Compliance Testing Program: Forensic Focus
Online / 1:00 p.m. – 3:00 p.m. (ET)