June 5, 2015
Philadelphia, PA: The Wharton School of the University of Pennsylvania and the FINRA Institute at Wharton are marking their 15th year offering securities industry compliance and regulatory professionals the opportunity to enhance their skills and knowledge through the Certified Regulatory Compliance Professional (CRCP) Program.
Over the past 15 years more than 1,000 compliance professionals have earned their certification with many forging lifelong networking relationships with industry peers and regulators.
The 2015 CRCP Program will be held July 12-17 and November 8-13, 2015 at Wharton’s Aresty Institute of Executive Education’s Steinberg Conference Center. Jill Fisch, Perry Golkin Professor of Law and co-director of the Institute for Law and Economics at the University of Pennsylvania and Eric W. Orts, Guardsmark Professor, Wharton School are co-academic directors of the program, which provides the latest developments in the securities law and regulation.
The CRCP Program draws on the expertise of leading academics and industry experts, such as:
The program targets compliance professionals on a leadership track; high-potential regulatory, legal, and compliance staff; business-line professionals with increasing compliance responsibilities; and legal and regulatory managers.
“The CRCP Program provides professionals with a comprehensive foundation of understanding for the securities laws and regulations and for the many compliance and ethical issues facing the industry,” says CRCP graduate Chip Jones, Senior Vice President, FINRA Member Relations and Education. In addition, “the biggest benefit of this program is having a peer group you can turn to and brainstorm solutions with when you have a compliance challenge at your firm.”
Co-academic director Jill E. Fisch says the program has evolved to meet the increasing complexity and globalization of the compliance industry — an industry that serves both retail investors and the most sophisticated of institutional players.
“There are new challenges posed by technology, market innovation and globalization,” she says, citing as examples the rise in cyber security threats and money laundering schemes. “Participants will gain a much bigger sense of the regulatory and market structure that their work fits into both domestically and globally.”
In addition to live case simulations and an assessment, the program will cover all the major challenges facing brokerage and securities industry, including:
Prospective candidates are encouraged to visit the FINRA website to determine if the program curriculum meets their needs.
FINRA, the Financial Industry Regulatory Authority, is the largest independent regulator for all securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation. FINRA touches virtually every aspect of the securities business – from registering and educating all industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws, and informing and educating the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers the largest dispute resolution forum for investors and firms.
Founded in 1881 as the first collegiate business school, the Wharton School of the University of Pennsylvania is recognized globally for intellectual leadership and ongoing innovation across every major discipline of business education. With a broad global community and one of the most published business school faculties, Wharton creates economic and social value around the world. The School has 5,000 undergraduate, MBA, executive MBA, and doctoral students; more than 13,000 participants in executive education programs annually; and a powerful alumni network of 98,000 graduates.
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Eleena de LisserDirector of Marketing CommunicationsAresty Institute of Executive Education
The Wharton School
University of Pennsylvania +1.215.898.7239 firstname.lastname@example.org