Overview
This course is designed to help operations professionals understand their books and records obligations when conducting firm business. Scenarios emphasize the importance of adhering to regulatory recordkeeping and retention requirements and firm-specific guidance.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- generally explain your firm’s regulatory books and records requirements
- describe their role in adhering to your firm’s regulatory books and records requirements
- discuss the consequences of failing to meet your firm’s regulatory books and records requirements
Designed For:
Operations professionals
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework