Regulation & Compliance

Items 13-24 of 26

Page
2 3 4
per page
Set Descending Direction
  1. Sale

    Brokerage Operations Processing: New Regulations

    English Introductory

    Describe the new regulations for brokerage operations that have arisen in the fi...

    1 Hours
    $99.00 $79.20
    Special Price $79.20 Regular Price $99.00
  2. Sale

    Brokerage Operations Processing: Current Trends

    English Introductory

    Understand how technology has impacted brokerage operations....

    1 Hours
    $99.00 $79.20
    Special Price $79.20 Regular Price $99.00
  3. Sale

    Brokerage Operations Processing: The Cashier's Department

    English Introductory

    List the function and responsibilities of the cashier's department of a brokerag...

    1 Hours
    $99.00 $79.20
    Special Price $79.20 Regular Price $99.00
  4. Sale

    Brokerage Operations Processing: Purchase and Sales

    English Introductory

    List the duties of the Purchase and Sales Department in five areas: Recording, F...

    1 Hours
    $99.00 $79.20
    Special Price $79.20 Regular Price $99.00
  5. Sale

    Brokerage Operations Processing: The Order Room

    English Introductory

    Describe the processes that happen in the Order Room of a brokerage firm. ...

    1 Hours
    $99.00 $79.20
    Special Price $79.20 Regular Price $99.00
  6. Sale

    Introduction to Brokerage Operations

    English Introductory

    Learn about the back office operations of a brokerage firm. ...

    1 Hours
    $99.00 $79.20
    Special Price $79.20 Regular Price $99.00
  7. Sale

    Fundamentals of Brokerage Operations

    English Introductory

    Explain how orders move from the order room to purchase and sales and finally to...

    8 Hours
    $590.00 $472.00
    Special Price $472.00 Regular Price $590.00
  8. Sale

    Processing Securities Transactions

    English Introductory

    Understand the working of the various departments within a brokerage firm and fo...

    1 Hours
    $99.00 $79.20
    Special Price $79.20 Regular Price $99.00
  9. Sale

    Capital Markets 101: Market Structure, Products and Regulatory Trends

    English Introductory

    This course will introduce participants to various types of securities and produ...

    2 Days
    $2,090.00 $1,672.00
    $1,672.00 Regular Price $2,090.00
  10. Sale

    Brokerage Accounting and Regulatory Reporting

    English Introductory

    Brokerage accounting and how associated regulations interact with operations....

    1 Day
    $2,090.00 $1,672.00

    From $1,337.60 Regular Price $1,672.00

    To $1,170.40 Regular Price $1,463.00

  11. Sale

    Brokerage Operations

    English Introductory

    Understanding multiple aspects of brokerage operations and the impact of Dodd Fr...

    2 Days
    $2,090.00 $1,672.00

    From $1,337.60 Regular Price $1,672.00

    To $1,170.40 Regular Price $1,463.00

  12. Sale

    Basel III: Challenges for Emerging Markets

    English Introductory

    This course reviews the impact and implementation challenges of the Basel framew...

    2 Days
    $1,890.00 $1,512.00

    From $1,209.60 Regular Price $1,512.00

    To $1,058.40 Regular Price $1,323.00

Items 13-24 of 26

Page
2 3 4
per page
Set Descending Direction