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

Our books, audio lessons, videos, and eLearning could be the perfect fit for your enterprise professional development plans. Contact our learning professionals today to discuss how we can add Cannon assets into your learning initiative based on your audience size, timing, and budgetary needs.

Want to Talk? Let’s Chat.

Press Launch Live Chat to chat online or give us a call at 706.353.3346.

Launch live chat