Barrington Financial Consulting Group's President, Bob Lawson, was awarded the Certified Securities Compliance Professional (CSCP) designation. The CSCP designation is a graduate-level program for experienced financial services compliance professionals offered through the University of St. Thomas School of Law in St. Paul, MN in collaboration with the National Society of Compliance Professionals (NSCP). Upon successful completion of the academic course, Mr. Lawson was granted the CSCP designation for both Investment Advisers and Broker-Dealers.
The course focused on the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) financial services regulation and compliance with an emphasis regarding Investment Advisers and Broker Dealers.
The areas of compliance covered:
Risk Assessment and Risk Management
Developing, Monitoring, and Testing Policies, and Procedures
Ethics and Conflicts of Interests
Client Communication and Client Protection
Regulatory Risk Management
Books and Records