- Major legal cases currently affecting brokers/dealers and the outcomes or precedents set. - Resolution strategies used in litigation involving brokers/dealers and their effectiveness. - Audit implications of recent legal developments and how they influence compliance and risk assessment practices.
Learning Objectives
- Upon completion of this course, you'll be able to:
- Identify major legal cases currently affecting brokers/dealers and the outcomes or precedents set.
- Examine resolution strategies used in litigation involving brokers/dealers and their effectiveness.
- Evaluate the audit implications of recent legal developments and how they influence compliance and risk assessment practices.
Major Topics
- Major legal cases currently affecting brokers/dealers and the outcomes or precedents set.
- Resolution strategies used in litigation involving brokers/dealers and their effectiveness.
- Audit implications of recent legal developments and how they influence compliance and risk assessment practices.
