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FINRA/Wharton Certified Regulatory and Compliance Professional (CRCP) Program

Overview

Program Overview

Investors’ growing skepticism about issues of fairness and honesty in the securities industry has made it more crucial than ever for compliance professionals, attorneys, and regulators to stay on top of federal securities laws and related regulations.

Since 2000, Wharton and the Financial Industry Regulatory Authority (FINRA) have offered this program to enhance compliance professionals’ skills and knowledge of securities regulation. Top-level academics and seasoned regulators and prominent industry practitioners give you a broader understanding of capital market regulation and the developments in compliance and risk identification practices necessary to meet today’s challenges.

Read more about the Experience & Impact »

CRCP Program Highlights & Benefits

  • Analyze the basis of and theory behind complex, and constantly changing, securities laws and regulations
  • Discover practical applications of modern securities laws and regulations
  • Gain a deeper sense of the regulatory and market structure that your work fits into both domestically and globally

Contact Us

To learn more about this program, visit FINRA’s website or contact FINRA Member Relations and Education by email or by phone at +1.800.321.6273.

July 17 - 22, 2016$20,150

Philadelphia, PA

November 6 - 11, 2016

Philadelphia, PA

Download the brochure from FINRA’s website to learn more about this program

Tuition includes two non-consecutive sessions. Both sessions are required for completion.

Tuition for Philadelphia programs includes lodging and meals. Prices are subject to change.

Still considering your options? View programs within Finance & Wealth Management or use our Program Finder.

Experience & Impact

As a result of the credit crisis of 2008, the U.S. regulatory system has undergone its most extensive overhaul since it was created in the late 1930s and early 1940s. The FINRA/Wharton CRCP Program is more important than ever to help compliance professionals keep pace with the changes, including those posed by technology and market innovation.

Wharton faculty — led by Professor Eric Orts, an expert on corporate governance, environmental law and policy, and business ethics — join other Penn Law faculty as well as industry experts and regulators to apply their field-based research and the latest strategic insights to give you a strong foundation, theory, and practical application of securities laws and regulations.

The program is comprised of two non-consecutive weeks focused solely on securities laws and the theory behind securities regulation. Co-sponsor FINRA is the largest independent regulator for all securities firms doing business in the United States.

In addition to live case simulations and an assessment, the program will cover all the major challenges facing brokerage and securities industry, from international financial regulation to anti-money laundering regulations and insider trading

After completing the program, you can apply your knowledge to your institution while tapping into a strong network of industry peers and regulators. As a graduate of the program, you will also be designated a Certified Regulatory and Compliance Professional (CRCP™). With more than 1,000 professionals with the CRCP designation, the credential has become well-regarded as the leading executive education program for compliance and regulatory professionals.

Session Topics:

Week One:

  • Supervisory Practices and Internal Controls
  • Ethical Issues in the Securities Industry
  • Suitability Issues
  • Securities Law and Regulatory Structure

Week Two:

  • Privacy and Data Protection
  • Anti-Money Laundering
  • Books and Records
  • Communications with the Public

Through highly interactive lectures, exercises, and assessments, this deep dive into regulatory and compliance will prepare you for the next level of your career.

Assessments & CRCP Designation

On the final day of the Week I and Week II courses, you must complete a written assessment. If you pass both assessments, you are awarded the CRCP designation. Coursework must be completed within two consecutive calendar years, though completion in the same calendar year is recommended.

Overall, the program will allow you to:

  • Be designated as a CRCP by the FINRA Institute at Wharton
  • Connect and learn from a diverse group of participants from securities firms, the legal profession, FINRA, the Securities and Exchange Commission, and other regulators
  • Remain current on compliance topics, rules and regulations, and emerging issues in the financial services industry

Who Should Attend

The FINRA/Wharton CRCP Program, taught at the FINRA Institute at Wharton, is designed for compliance professionals on a leadership track as well as business-line professionals with increasing compliance responsibilities. Other professionals who attend this program include state, federal, and international regulators in addition to practicing attorneys.

You get to interact with regulators, private compliance leaders, and other peers in the same classroom when discussing new legal and ethical issues facing the securities industry.  Faculty tailor the program content to address the strategic compliance issues facing the industry, so participants enjoy a learning experience that truly resonates with them and meets their learning needs.

Participants leave the program with an expanded peer network, critical insights, and best practices they can apply to their roles as chief compliance officers and managers.

Faculty

Eric Orts, JSDSee Faculty Bio

Academic Director

Guardsmark Professor, Professor of Legal Studies and Business Ethics and Management; Director, Initiative for Global Environmental Leadership, The Wharton School

Research Interests: Corporate governance, environmental law and policy, business ethics

Jill Fisch, JDSee Faculty Bio

Academic Director

Perry Golkin Professor of Law; Co-Director, Institute for Law and Economics, University of Pennsylvania Law School

Research Interests: Corporate governance, securities regulation and litigation

Testimonials

The CRCP program has been a tremendous investment. I was part of the first group of graduates and am still actively applying the knowledge gained several years later.”

Jay Bley

Chief Compliance Officer, The O.N. Equity Sales Company

I truly believe the training I received [through the CRCP program] helped prepare me for my current role. Additionally, I have received recognition from industry peers and other colleagues after receiving the certification.”

Lisa Gray

Chief Compliance Officer, Invesco

The professional instruction and personal interaction among financial professionals combined to make Wharton’s CRCP program a truly rewarding experience that provided critical insights into “Best Practices” for regulatory compliance. I benefit from what I learned during this program on a regular basis, and believe that dedicated investment compliance officers would also find the program to be an important element of professional development.”

Jonathan J. Shepland

COO/CCO, Latam Securities LLC