Five Courses to Assign After the FINRA Conference

No matter what industry you’re in, attending conferences that are packed with information relating to your career can be a rewarding experience. For compliance professionals and others in the financial services industry, the Annual FINRA Conference is one of the year’s most highly anticipated and attended events. Year-after-year, the conference pulls together some of the industry’s top keynote speakers and panelists to delve into the latest trends and regulatory updates.

With all that the FINRA conference has to offer, it’s important for attendees to incorporate what they have learned into their firm’s compliance program. So, as we inch closer to the virtual event, we thought it would be helpful to pinpoint some compliance training courses that correlate with this year’s sessions. Here are five Quest CE courses to pair with the 2021 Annual FINRA conference sessions.

 

 

FINRA’s Examination and Risk Monitoring Program – May 19 @ 10:05am

Course: FINRA and SEC Examination Priorities for 2021

Course ID: 15733

As a way to increase transparency between regulators and the registered firms and advisors they oversee, the SEC and FINRA release their annual examination priorities letters at the beginning of each year. These letters serve as a great resource for registered firms and members as they work to meet their annual compliance obligations. This course will provide a general overview of what was included on both the SEC and FINRA examination priorities letters while highlighting the specific areas which will receive the most attention in 2021, including Regulation Best Interest and Form CRS, Cybersecurity and Anti-Money Laundering.

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Fraud Detection and Prevention – May 19 @ 11:15am

Course: Anti-Fraud Programs and Controls 

Catalog ID: 10894

This course is intended for retail representatives, institutional representatives, investment advisers, supervisors or any financial service industry professional interested in learning about anti-fraud programs and controls and what they need to do to ensure that they, and their clients, are not a victim of this crime. Preventing fraud has always been a concern for organizations; in the new regulatory world it has become a matter of law. While the cost of fraud and penalties for non-compliance are in themselves important considerations, today’s zero-tolerance environment means that fraudulent financial reporting or misappropriation of assets can have serious ramifications for an organization, and in some circumstances, even spell the demise of an organization.

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Remote Supervision: Compliance Challenges in a Remote Working World – May 19 @ 1:00pm

Course: Security Best Practices for Remote Workers Amid COVID-19

Catalog ID: 12751

This course discusses the importance of security when working remotely and highlights some simple techniques that employees can employ to protect themselves while working from home. Additionally, we’ll discuss the recent influx of phishing emails that have flooded inboxes since the COVD-19 outbreak and tips to avoid falling victim to a hazardous attack.

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Diversity and Inclusion – May 19 @ 3:30pm

Course: Working Towards Diversity and Inclusion in the Workplace

Catalog ID: 13054

The lifeblood of every organization is its employees. Diverse teams, all with their own unique skill sets and capabilities, can come together to share their experience and create something greater than the sum of their parts. By the end of this course, participants will have a better understanding of diversity and inclusion concepts including unconscious bias, cultural competency, and microaggressions. This course will also highlight skills and strategies to improve your cross-cultural communication.

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Regulation Best Interest and Form CRS: Recent Observations and What to Expect – May 19 @ 2:30pm

Course: Regulation Best Interest (Reg BI) and Associated Materials

Catalog ID: 11662

On June 5, 2019 the SEC approved a package of new rules and interpretations designed to improve transparency for retail investors. Included in this package are Regulation Best Interest (Reg BI), New Form CRS Relationship Summary (Form CRS), the Investment Adviser Interpretation, and a Solely Incidental Interpretation. This course will cover each of these rules in depth along with potential scenarios that one could encounter.

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