This course covers a compendium of regulations, guidance, and key compliance considerations for institutional registrants working in capital markets. We begin with a focus on institutional sales and trading covering such diverse areas as suitability determination, supervision requirements, DAP and RAP accounts, gatekeeper responsibilities, multiple marketplaces, and best execution. The material also covers manipulative and deceptive trading activities that registered personnel should be familiar with and able to discern. The course also covers the key compliance considerations for investment banking operations, including underwriting, research, and ethics.  

Who should enrol?

This course is suitable for investment advisors, investment representatives, traders, and compliance personnel subject to CE compliance requirements.