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With the information explosion, employees have access to information that until now was unavailable. With the accelerated speed of communication and the automation of transaction processing, the potential for fraudulent or other criminal activities increases if not properly monitored. Among the topics examined are trade jumping, dormant accounts, suspense accounts, parking, interest payment and dividends receivables.
| Topics include: |
• Adherence to insider trading regulations
• Compliance responsibilities within a broker/dealer
• Money laundering rule requirements |
• NASD Rules of Fair Practice
• Registration and continuing education
• Role and procedures of the Compliance department |
| Benefits of attendance: |
• Explore the functions responsibilities
• Gain an appreciation of the role of compliance
• Increase understanding of rules and regulations |
• Obtain perspective on best practices
• Understand impact of non-compliance
• Update your perspective on critical issues |
| Staff from the following areas should attend: |
• Compliance
• Financial Reporting
• Middle Office |
• Operations
• Regulatory Reporting
• Trading |
Knowledge of brokerage operations required |
