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Mar 29, 2024
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2019-2020 Academic Catalog [Archived Catalog]
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FIN 353 - Financial Services Compliance And The Regulatory Environment Credits: One (1) Financial Services firms all share a common concern - regulatory compliance. This course covers the core compliance issues that someone considering, or training for, a career in financial services will face, including ethics, privacy, advertising and correspondence, trading and prohibited transactions, product appropriateness, fiduciary requirements and social networking.
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