Mississippi CLE - Corporate Law Courses
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Remote Supervision
Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info
$501General Credit -
Market Structure: What Factors Are Driving Changes
During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective practices for reviewing and documenting best execution Discuss technology available to process trades More Info
$501General Credit -
Gamification, Mobile Apps and Digital Engagement
Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info
$501General Credit -
Consolidated Audit Trail
During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including firm obligations, deadlines and resources. After attending this session, you will be able to: Discuss upcoming key dates How to prepare and resources available More Info
$501General Credit -
Considerations and Practices for Supervising Independent Contractors
This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices. After attending this session, you will be able to: Understand the challenges associated with supervising independent contractors Identify effective practices for supervision and o... More Info
$501General Credit -
Conflicts of Interest in Capital Markets and Investment Banking
This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to: Understand how some firms identify and mitigate risks associated with conflicts of interest Apply practical compliance approaches to mitigate and monitor for conflicts of interest Know of and... More Info
$501General Credit -
Communications Compliance: Current Developments
This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info
$501General Credit -
Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities
This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks. After attending this session, you will be able to: Review AML and Fraud Protection Red Flags and Effective Practices Discuss monitoring for high-risk suspicious activities Discuss policies, procedures, controls, and education that bridg... More Info
$501General Credit -
Brokers With a Significant History of Misconduct
This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history. After attending this session, you will be able to: Understand changes to rule 9200 and 9556 Discuss heightened supervisory procedures for statutory disqualified associated persons Review written request requirement process through the Membership Application Group (MAP) More Info
$501General Credit -
Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing
With apologies to the Beatles, tech is flowing out like endless rain into a paper cup, it slithers unregulated across the Metaverse. From AltCoin to Web 3.0, this course addresses the breadth of tech law in the Metaverse. The lecturer will review some of the basic terminology (in plain English!) before discussing the application of regulatory and statutory law to the Metaverse, how the Metaverse polices itself, and how the Metaverse is monetized. Specific topics will... More Info
$751.6General Credits