Protecting Vulnerable Shareholders
Vice President, Risk and Compliance Intelligence Group, DST Systems, Inc.
Executive Director, North American Securities Administrators Association, Inc.
AML Compliance Officer, Fraud Prevention Manager, Invesco
Financial executives will benefit from this informative webinar, addressing issues such as:
Identifying vulnerable investors
- Understanding the regulatory requirements (FINRA and state regulations)
- Handling “trusted source” designees
- Building best practices in fraud situation response
NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry..
NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: http://www.learningmarket.org/.
For this webinar:
CPEs Earned: 1 hour
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based
Advanced Preparation: None
For more information, please contact Travis Orton at 508.683.1618.