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Description: Trading violations are the most common cause of fines and sanctions from FINRA. Large and small firms are penalized for preventable violations. These can be the result of OATS violations, Reg SHO violations, or problems with clearing and settlement. Often compliance departments have limited experience in trading or clearing securities. These areas can pose risks to the firm in potential regulatory violations and possible liquidity consequences. It is imperative for compliance professionals to understand the mechanics of how trades are executed and cleared in order to fully understand the control environment surrounding their order management systems.
This Webinar, cosponsored by the National Society of Compliance Professionals and West Law, will cover the following areas:
- Following a trade from start to finish (entry to clearance)
- Understanding the trading process
- Trade reporting and OATs
- Order handling and trading systems
- Risk in the Back Office and Clearing
| Practice Areas: | | Broker-Dealer, Corporate & Securities | | Online Media Type: | | Audio | | Production Date: | | 12/06/2011 2:00 PM EST | | Level: | | Intermediate | | Category: | | Standard | | Duration: | | 1 Hours, 0 Minutes | | Online Format: | | Live | | Course Type: | | Public |
Click here for information on subscription discounts and Group Viewing opportunities.
Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
CLE Scholarship information Tuition Assistance for legal professionals taking our programs. Learn more about the program.
This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.
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| • | James Downing - Vice President Compliance Manager at JPMorgan Chase | • | Richard Wallace - Partner - Foley & Lardner LLP | • | Wesley L. Ringo - Senior Vice President and Chief Compliance Officer for J.J.B. Hilliard, W.L. Lyons, LLC |
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