SOX Compliance: Current Issues - Part 4
schedule
1h 37m
signal_cellular_alt
Beginner
category
Structured Finance
verified
24 credits available
play_circle
About This Course
This live CPE webinar offers valuable coverage of sox compliance: current issues - part 4.
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for structured finance professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for structured finance professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Presented By
LM
Lisa M. Garcia open_in_new
Counsel • Davis Polk & Wardwell LLP
Ms. Garcia advises financial institutions on regulatory matters and compliance with banking laws.
Credits & Accreditations
| Jurisdiction | Credit Type | Credits |
|---|---|---|
| Alabama | General | 1.5 |
| Alaska | General | 1.0 |
| Arizona | General | 3.0 |
| California | General | 3.0 |
| Colorado | General | 1.0 |
| Georgia | General | 1.0 |
| Hawaii | General | 1.0 |
| Illinois | General | 3.5 |
| Indiana | General | 1.0 |
| Maine | General | 2.0 |
| Michigan | Ethics | 3.0 |
| Mississippi | General | 1.5 |
| Missouri | General | 3.5 |
| Nebraska | Diversity | 2.5 |
| New Hampshire | General | 1.0 |
| North Carolina | Diversity | 1.0 |
| Oregon | General | 3.5 |
| Rhode Island | General | 1.5 |
| South Carolina | General | 1.0 |
| Texas | General | 3.0 |
| Vermont | General | 2.0 |
| Washington | General | 3.5 |
| Wisconsin | Diversity | 1.5 |
| Wyoming | General | 1.0 |
NASBA Details
Program Level
Beginner
Prerequisites
None required
Delivery Method
Group Live
BARBRI, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.