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Today’s numerous regulation and compliance requirements continue to expand ever since the credit crisis hit the financial services industry hard. Whether you are an investment advisor, broker/dealer, hedge fund or financial institution, there doesn’t seem to be any end in sight.
On the regulatory compliance side — anti-money laundering, anti-fraud, anti-corruption, supervision, suitability, books and records, and the SEC Net Capital Rule — all continue to remain at the forefront of the industry’s concerns. The newer regulations, including the Volcker Rule, Basel III and the Dodd-Frank Act, have created even more extensive compliance requirements, resulting in added costs to the financial services industry.
GFMI offers a full suite of regulation and compliance courses. Following are just a few examples from our compliance and regulation curriculum: