Firm Element Compliance: Regulation S-P - General

Compliance: Regulation S-P - General

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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Although Regulation S-P (“Reg S-P”) appears to be a fairly straightforward rule, requiring “protection of customer information,” the constant change in technology, interpretations from regulators, and new threats from hackers make safeguarding non-public information an issue that is ever evolving and increasingly difficult to track.
In this course the following topics will be discussed:
- The Source of Regulation S-P
- The privacy policy requirement under the regulation
- Sample privacy policy disclosures
- Safeguarding and disposing of client information
- Recent provisions to allow representatives to retrieve and retain confidential client information
- Regulation S-AM


Course Objectives

Upon completion of the course, the student will be able to: Describe the source of Regulation S-P. Outline the privacy policy requirement under the regulation. Analyze sample privacy policy disclosures. Apply safeguarding and disposal of client information techniques. Recant provisions to allow representatives to retrieve and retain confidential client information Define Regulation S-AM.

Topics Covered

This course covers the following topics: Lesson 1: Economic Factors Affecting Investments Lesson 2: Investment Risk Factors Lesson 3: Suitability of Investments to Clients Lesson 4: Investment Company Portfolio/Risk Characteristics



Subject Matter Expert

This course is created and brought to you by, Inc, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.


End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)

Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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