Regulatory Compliance Association Reviews

Curriculum

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Law & Practice

  • Law
  • Practice
  • Operational Process
  • Cybersecurity
  • Due Diligence
  • Risk Management
  • Fund Governance
  • Valuation
  • Accounting
  • Taxation
  • FATCA
  • BEPS

Compliance

  • Process
  • Surveillance
  • Supervision
  • Analytics
  • Case Management
  • Risk Assessments
  • Forensic Testing
  • Reviews
  • Remediation
  • Reporting
  • Marketing
  • Disclosure Practices
  • Client/Customer/IR
  • Anti-Money Laundering
  • Social Media
  • Code of Ethics
  • Trading & Markets
  • Conflicts

Examinations, Investigations, Enforcement & Criminal Proceedings

  • Inspections
  • Examinations
  • Enforcement
  • Civil Discovery
  • Civil Litigation
  • Investigations
  • Prosecution

Regulation

  • 33 & 34 Act
  • CTA/CPO Regulation
  • IA Act 1940
  • IC Act 1940
  • AIFMD
  • UCITS
  • MiFIDs
  • EMIR
  • ERISA
  • Anti-Money Laundering
  • Trading & Markets
  • Insider Trading
  • CPO/CTA
  • Systemic Risk
  • Offshore Jurisdictions (Cayman, Bermuda, Guernsey, Jersey, IOM)
  • Political Contributions
  • Whistleblower
  • FCPA and Anti-Bribery
  • Sanctions
  • Anti Trust
  • HSR