American Bankers Association-Approved Programs

 American Bankers Association (ABA) Professional Certifications (formerly the Institute of Certified Bankers, ICB) have approved the below PLI progams for the following credit amounts:

 

23rd Annual Consumer Financial Services Institute: approved for 13.25 Certified Regulatory Compliance Manager (CRCM) credits.
49th Annual Institute on Securities Regulation: approved for 2.5 Certified AML and Fraud Professional (CAFP), 20.25 Certified Corporate Trust Specialist (CCTS), 2.5 Certified Regulatory Compliance Manager (CRCM), 1.25 Certified Securities Operations Professional (CSOP) credits.
Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World: approved for 5 Certified AML and Fraud Professional (CAFP), 5 Certified Regulatory Compliance Manager (CRCM) credits.
Banking Law Institute 2017: approved for 1.25 Certified AML and Fraud Professional (CAFP), 7.5 Certified Regulatory Compliance Manager (CRCM), and 5 Certified Securities Operations Professional (CSOP) credits.
Broker/Dealer Regulation and Enforcement 2017: approved for 6.5 Certified AML and Fraud Professional (CAFP), 7.75 Certified Regulatory Compliance Manager (CRCM), and 6.5 Certified Securities Operations Professional (CSOP) credits.
Compliance & Ethics Essentials: approved for 3 Certified Regulatory Compliance Manager (CRCM) credits.
Enforcement 2018: Perspectives from Government Agencies: approved for 7.5 Certified AML and Fraud Professional (CAFP), 7.5 Certified Regulatory Compliance Manager (CRCM) credits.
Financial Services Industry Regulatory Compliance Forum 2017: approved for 8.25 Certified Regulatory Compliance Manager (CRCM) credits.
Fundamentals of Broker Dealer Regulation 2018: approved for 8 Certified Regulatory Compliance Manager (CRCM), 8 Certified Securities Operations Professional (CSOP), and 8 Certified Trust and Financial Advisor (CTFA) credits.
Fundamentals of Investment Adviser Regulation 2018: approved for 7.5 Certified Trust and Financial Advisor (CTFA) credits.
Global Capital Markets & the U.S. Securities Laws 2018: approved for 7.25 Certified Securities Operations Professional (CSOP) credits.
Global Compliance and Compliance for Third Parties: approved for 1 Certified Regulatory Compliance Manager (CRCM) credit.
Investment Management Institute 2018: approved for 9.5 Certified Securities Operations Professional (CSOP), 9.5 Certified Trust and Financial Advisor (CTFA) credits.
Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense: approved for 1 Certified Regulatory Compliance Manager (CRCM) credit.
Private Fund Regulatory Developments and Compliance Challenges 2018: approved for 5 Certified Corporate Trust Specialist (CCTS) and 5 Certified Trust and Financial Advisor (CFTA) credits.
Real-World Compliance Challenges and How to Handle Them: approved for 1 Certified Regulatory Compliance Manager (CRCM) credit.
SEC’S Fiduciary Rulemaking—The Proposed Rules Are Unveiled: approved for 1.25 Certified Regulatory Compliance Manager (CRCM), and 1.25 Certified Trust and Financial Advisor (CFTA) credits.
Seventeenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice: approved for 4 Certified Regulatory Compliance Manager (CRCM) and 11 Certified Securities Operations Professional (CSOP) credits.
The Foreign Corrupt Practices and International Anti-Corruption Developments 2018: approved for 4.5 Certified AML and Fraud Professional (CAFP), and 11.5 Certified Regulatory Compliance Manager (CRCM) credits.
The SEC Speaks in 2018: approved for 15.75 Certified Corporate Trust Specialist (CCTS) and 15.75 Certified Securities Operations Professional (CSOP) credits.


These statements should not be viewed as an endorsement of these programs or its sponsor. To request American Bankers Association (ABA) Professional Certifications credit for these and future programs, please e-mail plicredits@pli.edu.

Interested in broker dealer regulation or investment advisor regulation? Check out PLI's BD/IA: Regulation In Focus.

15 items found.

Title Date Product Type Interest Area Price
The SEC Speaks in 2018 Mar. 3, 2018  On-Demand Web Programs Corporate & Securities $825.00
23rd Annual Consumer Financial Services Institute - New York Apr. 2, 2018  On-Demand Web Programs Banking $1,535.00
Global Capital Markets & the U.S. Securities Laws 2018 Apr. 25, 2018  On-Demand Web Programs Corporate & Securities $1,395.00
The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2018 May. 1, 2018  On-Demand Web Programs Corporate & Securities $1,420.00
Investment Management Institute 2018 May. 7, 2018  On-Demand Web Programs Corporate & Securities $1,425.00
SEC’s Fiduciary Rulemaking -- The Proposed Rules Are Unveiled May. 11, 2018  On-Demand Web Briefing ERISA $129.00
Enforcement 2018: Perspectives from Government Agencies May. 16, 2018  On-Demand Web Programs Corporate & Securities $1,395.00
Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense Jun. 4, 2018  Web Segment Corporate & Securities $145.00
Global Compliance and Compliance for Third Parties Jun. 4, 2018  Web Segment Corporate & Securities $145.00
Real-World Compliance Challenges and How to Handle Them Jun. 4, 2018  Web Segment Corporate & Securities $145.00
Compliance & Ethics Essentials 2018 Jun. 8, 2018  On-Demand Web Programs Corporate & Securities $1,420.00
Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World Jun. 18, 2018  On-Demand Web Programs Corporate & Securities $675.00
Fundamentals of Investment Adviser Regulation 2018 Jul. 2, 2018  On-Demand Web Programs Corporate & Securities $1,395.00
23rd Annual Consumer Financial Services Institute - California Jul. 3, 2018  On-Demand Web Programs Banking $1,535.00
Fundamentals of Broker-Dealer Regulation 2018 Jul. 30, 2018  On-Demand Web Programs Corporate & Securities $1,395.00

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