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.

Learning Objectives

Upon completion of this course, students will be able to:

  • 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

All registered representatives and registered principals
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