Firms who wish to use the CCO University for professional development or continuing education should contact the CCO University for firm-wide tuition schedules.
| Course # |
Course Description |
|
|
CCO U Course 501 |
Global Regulatory Outlook |
| CCO U Course 502 |
Principles of Compliance |
| CCO U Course 503 |
Principles of Adviser Compliance |
| CCO U Course 504 |
Principles of Investment Company Compliance |
| CCO U Course 505 |
Intermediate Compliance |
| CCO U Course 506 |
Advertising and Marketing |
|
| CCO U Course 507 |
Private Placement of Securities |
|
CCO U Course 508 |
Account Documentation |
|
CCO U Course 509 |
Insider Trading |
|
CCO U Course 510 |
Anti-Money Laundering |
|
CCO U Course 511 |
Portfolio Management & Trading |
|
CCO U Course 512 |
Best Execution |
|
CCO U Course 513 |
Comprehensive E-Mail Compliance |
|
|
CCO U Course 601 |
Soft Dollars |
|
CCO U Course 602 |
Valuation 1 |
|
CCO U Course 603 |
Valuation 2 |
|
CCO U Course 604 |
ERISA |
|
CCO U Course 605 |
SEC Filings and Reporting |
|
CCO U Course 606 |
Business Continuity |
|
|
CCO U Course 607 |
The Role of Independent Directors |
|
CCO U Course 608 |
Fund Structures & Offering Memoranda |
|
CCO U Course 609 |
SEC Examination Preparation |
|
CCO U Course 610 |
Third-Party Service Provider Due Diligence |
|
CCO U Course 611 |
SEC Investigations and Enforcement |
|
CCO U Course 612 |
Enforcement Actions |
|
CCO U Course 613 |
Internal Controls |
|
|
CCO U Course 701 |
Convergence of Compliance and Risk Management |
|
CCO U Course 702 |
Principles of Operational Risk Management |
|
CCO U Course 703 |
Intermediate Operational Risk Management |
|
CCO U Course 704 |
Emerging Issues in Operational Due Diligence |
|
CCO U Course 705 |
Fund Failures, Liquidation and Litigation |
|
|
CCO U Course 801 |
FSA Compliance Series |
Professional Development
Master’s Program Curriculum 