Investors’ growing skepticism about issues of fairness and honesty in the securities industry has made it more crucial than ever for compliance professionals, attorneys, and regulators to stay on top of federal securities laws and related regulations.
Since 2000, Wharton and the Financial Industry Regulatory Authority (FINRA) have offered this program to enhance compliance professionals’ skills and knowledge of securities regulation. Top-level academics and seasoned regulators and prominent industry practitioners give you a broader understanding of capital market regulation and the developments in compliance and risk identification practices necessary to meet today’s challenges.