Top Ten Firm Element Courses of 2015
Your Firm Element program serves a multitude of purposes – it is sometimes used to bridge the gap between representatives and the complex products they sell, or to provide additional training on new or changing regulation. Training can be conducted both online or in-person, with subjects ranging from Gifts and Entertainment Tracking to Trading Best Practices. While the broad range of available courses can be overwhelming, it should never deter you from creating a program centered on your firm’s needs.
To help begin your search of the perfect program, we’ve consolidated a list of our “top 10” most popular courses in 2015.
#10 Anti-Money Laundering and Red Flags for Institutional Clients
This course outlines the various money laundering stages and suspicious activities that can help personnel detect and prevent money laundering. It also outlines responsibilities for representatives dealing with institutional clients, focusing on knowing your customer information, verification, due diligence, and finally a case study identifying the importance of following rules and potential problems that may occur if AML procedures are not followed.
#9 Anti-Money Laundering: Customer Identification Programs and Red Flags
This course covers requirements for a firm’s Customer Identification Program, with emphasis on real-world context for application of a CIP. 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. The course concludes with case studies to illustrate the concepts covered in the text.
#8 Understanding Complex Products
This course provides financial advisers and their supervisors with a sound understanding of the essential characteristics of complex products and related sales practices issues. Upon completing this course, advisers will be able to easily identify complex products, describe the suitability requirements that surround them and implement a reasonable compliance program regarding the sale of complex products.
#7 Senior Investor Issues: Diminished Decisional Capacity
This course consolidates the insights and research of leading academic, medical and legal professionals, psychologists and organizations on the topic of diminished decisional capacity. It provides information that registered representatives may find useful for identifying, working with and responding to senior investors or other customers with potential diminished— or diminishing—decisional capacity.
#6 Municipal Bonds: Regulatory Considerations
This course addresses some of the inherent risks associated with municipal bonds. It is designed to help you better understand risks, sales practice issues, rules and regulations related to these bonds.
This course examines the 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.
#4 Electronic Communications: What Retail Staff Need to Know
This course helps retail registered representatives understand the requirements applicable to all communications with the public and shows how regulatory standards apply to social media and other electronic communications.
#3 Ethics for the Financial Services Professional
This course is intended for registered representatives, investment Advisers, compliance staff, and supervisors that are responsible for working with clients. This course provides an overview of the characteristics of ethics and professionalism. Topics include the standards by which a professional should be judged, as well as a study of ethics on its philosophical and compliance levels.
#2 Anti-Money Laundering: Review, Everyday Scenarios & Enforcement Cases
This course provides a brief overview of AML programs before focusing on examples of real-world scenarios that representatives may encounter in their interactions with customers and prospective customers. The course continues its emphasis on real-life application by presenting summaries of actual recent enforcement cases.
#1 Anti-Money Laundering for Broker Dealers
The objective of this course is to introduce broker-dealer employees to the federal laws and regulations that apply to money laundering, record keeping and reporting. The course discusses some “red flags” that may indicate potential money laundering activities, as well as the penalties that can be imposed for violating federal money laundering laws.
At Quest CE, it’s our business to know what makes a great Firm Element program. Our goal is to help you find the right training partner and to deliver on our mission to create a more efficient marketplace for training. Quest CE features a comprehensive course catalog of over 450 courses.
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