Broker Preparatory Course Series 14 Compliance Officer Exam (FINRA)
Broker Preparatory Course Series 14 Compliance Officer Exam (FINRA)
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£1,500.00 per member
£1,500.00 per member
Duration: 100 hours |
Lectures: 30 |
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a compliance officer, including expertise in compliance processes and reporting requirements.
Permitted Activities
Covered supervisory activities include regulatory compliance over:
- Day-to-day activities of the firm
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£1,500.00 per member
Duration: 100 hours |
Lectures: 30 |
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