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Jan 14, 2025
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2020-2021 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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