Financial Institution Prospectus and Client Application

Compliance
Date : Dec 10, 2014 - 09:00 AM - 05:00 PM
Event URL : http://www.nyeventslist.com/events/financial_institution_prospectus
Link to Website : http://www.fmwonline.com/prospectus-client-application
Organizer : Financial Markets World
Venue :
Location : Club Quarters Hotel, 52 William Street, NYC (Wall Street Area)
New York NY US
ZIP: 10005
Ticket Price:
Objectives:
Discuss the features and characteristics regarding offerings to prospective clients
Explain the basic provisions enforced by the applicable regulatory bodies regarding marketing materials for an offering
Recognize and discuss the applicable prospectus requirements
Identify the required information a financial institution collects on an application for an offering
Assess the information interaction between the product provider, agents and registered parties in light of the applicable
regulatory agencies
Develop an understanding regarding the impact to business units (operations) in light of the prospectus and client
application process
Describe how to implement a comprehensive compliance program to prevent, detect and correct potential violations
Assumptions:
This is an introductory course. Participants will be exposed to basic foundations regarding the types of offerings promoted
by a financial institution and its’ agents along with the client application process. The course will also assist participants in
defining the compliance program basics regarding the subject matter.
Session 1: Overview of the Federal Investment Acts & Applicable Laws
The opening session provides an overall primer regarding the historical development of the applicable laws preceding and
overshadowing the 1933 Truth in Securities Act. Participants will categorize the different parts of the applicable laws and rules
prior to addressing specific regulatory compliance requirements. By the end of this session, course participants will be able
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to:
Outline
The 1933 Act influence
The 1934 Act influence
The 1940 Act influence
Session 1A: Overview of the Federal Securities Laws-Application
Participants participate in case study/roundtable discussions to confirm their understanding of Session One.
Session 2: The Offering Process
Participants shall begin defining the regulatory compliance requirements for an offering, including the registration process. By
the end of this session, course participants will be able to:
Define
The initial registration process
The initial regulatory process
The crossover issues as they apply to state registrations
Define which regulators oversee specific aspects of the offering
Federal
Self-Regulatory Organizations
State
Session 2A: The Offering Process Application
Participants participate in case study/roundtable discussions to confirm their understanding of Session Two.
Session 3: Disclosure Controls and Procedures
Participants shall review the defined U.S regulations and discuss on a high level the basic process for gathering and
communicating information to potential clients, participating members and if applicable, regulatory agencies. By the end of this
session, course participants will be able to:
Describe how to implement a policy for accumulating information
Describe the initial communication procedure
Describe the need for proper documentation
Session 3A: Disclosure Controls and Procedures Application
Participants participate in case study/roundtable discussions to confirm their understanding of Session Three.
Session 4: The Basic Application Process
Participants shall review the defined U.S regulations and discuss on a high level the basic client application requirements
once an offering is pending and subsequently on place. By the end of this session, course participants will be able to:
Describe the initial application process
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Describe the initial regulatory considerations for the application process
Describe the initial disclosure requirements
Session 4A: The Basic Application Process Application
Participants participate in case study/roundtable discussions to confirm their understanding of Session Four.
Session 5: The Offering/Application Interaction
Participants shall review how financial institution members interact regarding the offering and application process. By the end
of this session, course participants will be able to:
Describe who may promote the offering
Describe the regulatory considerations for each member participant
Describe potential short comings between the member participants
Session 5A: The Offering/Application Interaction Application
Participants participate in case study/roundtable discussions to confirm their understanding of Session Five.
Session 6: Compliance Fundamentals
Participants shall review the basic day-to-day compliance requirements by rule and regulatory agency. By the end of this
session, course participants will be able to:
Define the basics for a compliance program
Define the antifraud reporting provisions
Define the disclosure provisions
Session 6A: Compliance Fundamentals Application
Participants participate in case study/roundtable discussions to confirm their understanding of Session Six.
Session 7: Financial Institution Process
Participants shall begin defining the financial institution’s operational requirements regarding the offering and client
application. By the end of this session, course participants will be able to:
Identify
Front office responsibilities
Middle office responsibilities
Back office responsibilities
Session 7A: Financial Institution Process Application
Participants shall analyze a firm’s specific business lines to confirm their understanding of Session Seven.
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