About the CSCP
The Certified Securities Compliance Professional® (CSCP®) Program provides the compliance professional with the opportunity to demonstrate proficiency in a number of areas critical to the role in the financial services industry. The CSCP program:
- distinguishes individuals with intermediate to
advanced proficiency and a commitment to advancing
securities compliance practices, lifelong learning, and professional development.
- is designed to meet the dynamic changes and increased
responsibility and authority now carried by
compliance professionals in the financial services industry.
- requires expertise of both broker-dealer and
investment adviser compliance best practices, rules
and regulations, and industry standards.