Course Outline
 

Course Title

  

Credit and Compliance

Course Category

    Online
Target Audience  

Back office and operations personnel in banks, securities firms, trust companies, and transfer agents.
Also appropriate for compliance staff, lawyers, accountants and asset managers who require an understanding of securities clearing and settlement.

Continuing Education

  

3 MX CE Credits

Prerequistes

   Introduction to Financial Markets, or a familiarity with securities transactions involving equities, debt instruments, options and futures, and the basic features of these instruments.
Objectives   Upon completion of this course, participants will be able to:
1.Demonstrate and explain how compliance risk can affect the continuity of a firm.
2.Demonstrate and explain how credit risk can affect the continuity of a firm.
3.Match violations of compliance rules to possible outcomes.
4.List and define the procedures for delinquent accounts.
5.Explore and describe the importance and types of account supervision.
6.Analyze and describe margin account rules.
7.Diagram the flow chart of the process of a margin call.
8.Explore and list the procedures to minimize credit and compliance risks.
Subject by level  

Topics  

Section 1: Introduction to Compliance in the Securities Industry
-  Securities Regulation
-  Compliance Issues
-  Compliance Risk
-  Case Study of Compliance Risk # 1
-  Case Study of Compliance Risk # 2

Section 2: Introduction to Account Supervision
-  Account Supervision Process
-   
Duration   This online course is equivalent to an in-class course with a duration of 3 hours. Online courses are self-paced, and the time necessary to complete each course will vary with each student
Time to comple the course   Six months (user account can be deactivated after this period)
Date   Available now
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