FINRA: Foreign Corrupt Practices Act: Avoiding Improper Payments

Overview

In today’s international business climate, securities professionals must understand and comply with regulations governing corruption and bribery in business practices around the globe. The course covers handling of indirect payments, interactions with intermediaries and government officials, recordkeeping and due diligence.

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License or Certification

Regulator

Learning Objectives

recognize what could be considered an improper payment.
identify who must comply with improper payment laws
understand that certain payments should be documented
understand the consequences of violating improper payment laws.

Designed For:

Registered representatives and registered principals

Course Information

Adding additional credit may change exam requirements.

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