After completing this course, you should be able to:
- Describe the regulatory framework for the regulation of communications in the securities industry.
- Describe the regulation of electronic communications in particular.
- Describe the different types of social media currently in use.
- Explain current regulatory position of FINRA as set forth in Regulatory Notice 10-06.
The student should have a sense of the continuity of the regulatory principles involved and of the way they have evolved in response to rapid developments in information and communications technology.
At the end of this course, you will be able to:
- Define and identify drug and alcohol abuse.
- Recognize the signs of drug and alcohol abuse.
- Assess the financial and human costs of drug and alcohol abuse.
- Devise an effective drug and alcohol policy.
- Arrange supervisor training sessions.
- Understand how to carry out drug and alcohol testing
- Organize employee assistance programs.
At the conclusion of this course, the student will be able to:
- Define money laundering and understand why it is a threat.
- Discuss the various anti-money laundering (AML) laws including the USA PATRIOT Act.
- Explain the implications of anti-money laundering laws and regulations for the securities industry.
- Discuss the role of the regulatory agencies that are responsible for overseeing anti-money laundering programs.
- Describe sanctions for non-compliance with anti-money laundering laws and regulations.
After successfully completing this module, you will be able to:
Define common motor terms and definitions.
Describe DC motors.
Explain AC motors.
Describe motor protection.
Review nameplate data and motor enclosures.
We’re committed to creating a work environment that promotes employee health and wellness. This course is the first step in raising awareness and rollout of our new workplace health program, which includes promoting activities or policies that encourage and support healthy behaviours in the workplace.