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FINRA Half-Day Compliance Boot Camp District 10 – Long Island
October 18, 2018 @ 9:00 am - 1:30 pm
Half-Day Compliance Boot Camps
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
October 18, 2018
9 a.m. – 1:30 p.m.
FINRA District Office
Two Jericho Plaza
2nd Floor, Wing A
Jericho, NY 11753
(516) 827-6100
Topics
- Supervision
- Anti-Money Laundering and Customer Due Diligence