Risk, Compliance and Controls

Cost Members - TBD
Non-Members - TBD
Duration 1 Day
Time 8:15 am - 5:00 pm
CRCP Credits 6
CRCP CE Credits 6
CPE Credits 7
CRCP CE Credits Overview
Location Date Code
TBD Available in 2009          TBD
Venue
TBD

 

Other Registration Options & Cancellation Policy

 

Tentative 2009 Agenda (PDF 29 KB)

 

This course qualifies for FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) credit for candidates who have taken courses prior to January 2007. Participants taking the course who are not CRCP Program candidates prior to January 2007 are not required to take the assessment exercise and will not earn CRCP credit.

 

Course Description

 

This course covers internal control systems and other techniques to resolve and mitigate financial, operational and strategic risks. Case studies and hypothetical risk situations lead participants through the design of compliance and control mechanisms.

After completing this course, you will be able to:

  • Describe how risk management, controls and compliance interact and work collectively to safeguard your organization
  • Analyze the strategic, legal/regulatory, operational and human resource risks in your organization
  • Apply strategies to manage, monitor and report risk
  • Describe how to structure a compliance program
  • Compare and contrast detective controls and preventive controls
  • Develop an internal control system to manage the risk environment
  • Identify and discuss industry risk management practices relating to employee supervision, branch examinations, board and senior management oversight, internal audit, new product reviews, surveillance and other areas

Only FINRA’s Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.