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.

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

• 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

Operations professionals