Cannon Financial Institute

Securities Operations Issues & Updates

In this two day course, Cannon focuses on the most relevant and current topics in Securities Operations.

Topics complement the job scope of many professional designations within the Wealth Management industry.

 Many professionals satisfy Continuing Education requirements with this course. Rules for CE approval are time sensitive and vary by designation. Cannon encourages early registration in order to allow for ample processing (request for credits may not be available after course completion).

Topics

  • Industry Analysis
  • Fiduciary Risks
  • MOECA Rating
  • Regulatory Reporting Form RC-T
  • Vendor Management
  • Unique & Hard-to-Value Assets
  • Annual Investment Reviews
  • Trust Pledges-Calculating & Maintaining
  • Uniform Principal & Income Act
  • Custody Accounts & Free-Riding
  • Administrative Reviews

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