What will you learn?
- Rules that underly the role of Institutional Registrant
- Frauds, scams, and trading violations
- The gatekeeper role and protecting market integrity
- What’s new in regulatory rules and industry guidance
- Investment banking operations
What is the course syllabus?
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Topics covered in this chapter are:
- Minimum Standards for Institutional Supervision
- Dealing with Institutional Client Accounts
- Client Focused Reforms (CFRs)
- Cybersecurity Risk
- Trading Operations and Rules
- Derivatives Rules Modernization
Topics covered in this chapter are:
- The Role of the Gatekeeper
- Manipulative or Deceptive Trading
- Improper Orders and Trades
- Trading Halts, Delays, and Suspensions
- Consequences of Non-Compliance
Topics covered in this chapter are:
- Information Barriers and Restricted Lists
- Underwriting Due Diligence
- The Research Department
- Financial Engineering
Topics covered in this chapter are:
- Illegal Insider Trading and Tipping
How will you learn?
CSI’s online learning system helps you meet your study goals. You’ll benefit from:
- Online readings available in PDF format
- Learning objectives that keep you focused
- Online assistance from CSI’s academic support specialists