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