Understand the maintenance and ethics requirements for professional designations in the financial industry, including continuing education, ethical standards, and the consequences of non-compliance.
Explore the guidelines and regulations surrounding entertainment and business functions in the securities industry, focusing on compliance and ethical considerations for registered representatives.
Discover how internal controls are vital in preventing financial fraud and safeguarding assets in the securities industry. Learn about policies, segregation of duties, authorization, reconciliations, and the role of ethical culture.