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Safeguarding Market Integrity: Challenges and Solutions


Investor confidence in the market is critical. Trades or activity must not fall outside the bounds of fair and acceptable practices. Otherwise, this can erode the public’s faith that all investors share equal investment opportunities, with an equal level of risk.

This course will help you better understand the various types of wrongdoing and industry challenges to market integrity as well as the many solutions the industry has developed to combat these problem areas and enhance market activity.

Who should enroll?

  • This CE course is suitable for industry participants such as investment representatives, investment advisors, wealth managers, supervisors and compliance professionals who would like to learn more about challenges to market integrity such as securities fraud, abusive trading and the realities of doing business in a multi-market universe
  • Individuals licensed to sell securities that are subject to Professional Development/Compliance CE requirements
  • Investors wanting to further their knowledge of the securities industry