Overview
This course uses case studies adapted from actual disciplinary actions to remind supervisors of their obligations to monitor sales and trading. It helps supervisors better understand the potential consequences of failing to carry out their supervisory responsibilities.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- identify some of the required areas of supervision
- understand how to meet these supervisory obligations as you go about your daily business
- recognize the potential consequences of failing to carry out supervisory responsibilities
Designed For:
Registered principals, Institutional
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework