This course covers common risk assessment standards, processes, and methodologies, explaining how to define risk from anti-money laundering, cybercrime, and sanctions perspectives and how to build a successful risk assessment program for your institution.
Our Cyber Risk & Data Privacy Summit brings together industry experts to discuss best practices on managing cyber risks and share insights into the latest data privacy trends.
Compliance Week 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.
The Securities and Exchange Commission (SEC) proposed a series of rules Wednesday that would change the way securities are sold in U.S. markets and create new disclosures for broker-dealers and others seeking to trade securities on behalf of retail investors.
The SEC passed four proposals that attempt to make it easier for retail investors to receive the best prices for their trades, would change broker-dealers’ obligations for what constitutes “best execution” of trades for retail investors, and would require new disclosures on the treatment of retail orders. The agency also adopted amendments to an unrelated rule on insider trading.
Comment periods on the four proposed rules would last until March 31 or 60 days after publication in theFederal Register, whichever is later.
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