SBSD New Employee Bundle
Description: This bundle includes course content required for newly employed individuals (1 year or less) working at an SEC-registered Security-based Swap Dealer. Included in this bundle are some of our most popular "Best Practices" courses: AML, Cybersecurity and Intro to Asset Management. The courses are designed to provide new employees with a foundation, yet comprehensive, understanding of requirements and compliance-related issues when working in the U.S. security-based swaps market.
1. Security-Based Swap Dealer Requirements
2. Introduction to Asset Management
3. AML for Financial Services
5. Identity Theft Prevention