Mergers and Acquisitions, Supervisory Edition


This course discusses the merger and acquisition (M&A) process, the parties to a merger, the role of an adviser in the merger process, rules and regulations applicable to the process, and supervisory obligations. 

Learning Objectives

Upon completion of this course, you should understand:

  • mergers and acquisitions and the difference between them
  • the steps involved in a merger and an acquisition
  • the role of the adviser in the merger and acquisition process
  • rules to follow when advising a client involved in a merger or acquisition
  • supervision requirements

Designed For

This course is designed for principals who supervise mergers and acquisitions within their firm.

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License or Certification