Since the late 1990s, a more competitive capital market landscape has spawned innovation, resulting in the launch of several marketplaces that attempt to differentiate their offerings based on order types, pricing structures, and client segments (retail, institutional, proprietary). Technology and regulation have driven much of this development, resulting in the multi-venue universe that we have today. In this environment, trading compliance is a regulatory priority.
Trading Compliance for Institutional Registrants is designed for financial professionals. This includes investment advisors, investment representatives, traders, and compliance personnel. It is recommended for individuals who are subject to CE compliance requirements, and for professional development.