LOMA 29 July 2019
Brokerage firms are required to supervise their registered reps and other employees to make sure they comply with federal securities laws and NASD and NYSE rules. The penalties for improper supervision are steep. Supervisors who fail to meet their obligations can be fined, suspended, barred from the securities industry, or sued. To help you prevent these things from happening, this course provides an overview of your responsibilities as a supervisor. First, it describes some key elements of an effective supervisory system. Next, it outlines some ways supervisors are expected to monitor employees and review their activities. Lastly, it presents some tips for preventing, detecting, and investigating potential securities law violations.
This LOMA course is online and can be accessed both from computer and mobile devices.
Employees of brokerage firms.
The displayed period is indicative, being online the course is available at any time.
The course can be completed within 6 months of enrollment.
The necessary investement for this course is of 120 USD+VAT/participant.
The participation fee may be subject to changes based on LOMA policy.