Navigating regulatory compliance in financial services requires constant vigilance and education. Our most popular Firm Element courses from 2024 equip brokers and advisors with essential knowledge to meet today’s complex compliance demands.
Below, we break down our top 10 Firm Element courses from 2024, based on user completions, with brief descriptions. From the latest SEC guidance on off-channel communications to critical Reg BI updates, these courses cover the compliance topics that matter most to your firm’s success.
2024’s Top 10 Firm Element Courses
1.) Off-Channel Communications
Course Code: 19461
For the second year in a row, off-channel communications clenches the #1 spot! This course educates broker-dealers and investment advisers on the compliance risks of unmonitored off-channel business communications, which continue to draw regulatory crackdowns and penalties despite numerous actions taken.
2.) Regulation Best Interest Update: Recent Regulatory Developments
Course Code: 21189
This course focuses on the SEC’s staff bulletin focusing on the Care Obligation and FINRA’s report on examination findings related to the implementation of Reg BI. It also includes an overview of some recent regulatory actions brought by both the SEC and FINRA.
3.) Advanced Strategies in AML Compliance and Enforcement
Course Code: 21857
Explore essential Anti-Money Laundering compliance strategies, from Customer Due Diligence to Suspicious Activity Reporting, while examining emerging trends in AI and blockchain technologies. Master the regulatory frameworks and key components needed to combat financial crime.
4.) Communicating with Clients in the Digital Age
Course Code: 22206
This course covers crucial aspects such as the development of robust monitoring systems, the importance of record retention, and strategies to prevent and address compliance violations. Participants will engage in practical exercises to apply their learning, preparing them to effectively advocate for compliance within their firms.
5.) Anti-Money Laundering for Financial Services Professionals
Course Code: 17672
This course is intended for retail representatives, investment advisors, supervisors or any financial service industry professional interested in learning about industry rules regarding anti-money laundering rules and regulations. This course will examine anti-money laundering regulation in the broker-dealer industry, specifically focusing on the USA PATRIOT Act of 2001 and FINRA Rule 3011.
6.) FINRA and SEC Examination Priorities for 2024
Course Code: 21884
Dive into the key focus areas of SEC and FINRA’s 2024 examination priorities, from Anti-Money Laundering and Cybersecurity to Regulation Best Interest and ESG Investing. Get ahead of regulatory scrutiny with this comprehensive overview of critical compliance areas.
7.) Cybersecurity: Phishing
Course Code: 15607
As firms increase reliance on technology to conduct their operations, the risks to firms associated with cybersecurity continue to increase. This course provides representatives with background knowledge of cybersecurity risks and best practices, including phishing tactics, vendor management controls, information sharing and much more.
8.) Cybersecurity
Course Code: 17700
This course will examine various targets and types of cyber-attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cybercrimes and practical steps toward cybersecurity. Also discussed is recent FINRA guidance, including the presence of cybersecurity in the Regulatory and Examinations Priorities Letter, the Report on Cybersecurity Practices, and Investor Alerts warning investors about cyber threats.
9.) Cybersecurity & FINRA
Course Code: 17703
Explore critical cyber-attacks and threats facing the financial industry, including regulatory disclosure requirements, preventative measures, and recent FINRA cybersecurity guidance. Learn practical cybersecurity strategies for representatives to mitigate risks and understand the consequences firms face for failing to protect against cyber threats.
10.) Anti-Money Laundering: Customer Identification Programs, Red Flags, Everyday Scenarios and Enforcement Cases
Course Code: 9842
This course provides a brief review of the basics of illegal money laundering and the legislative measures adopted to combat money laundering in the US. It covers requirements for a firm’s AML and CIP programs with emphasis on real-world context. The course also discusses red flags that every representative should be aware of in their day-to-day dealings with customers and prospective customers, and with accounts.
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