The Wharton School and FINRA Mark 15th Anniversary of Certified Regulatory and Compliance Professional Program this Year

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Program Beginning in July Features Leading Professors in Securities Law, Business Ethics and Corporate Compliance

The Wharton School of the University of Pennsylvania and the FINRA Institute at Wharton are marking their 15th year offering securities industry compliance and regulatory professionals the opportunity to enhance their skills and knowledge through the Certified Regulatory Compliance Professional (CRCP) Program.

Over the past 15 years more than 1,000 compliance professionals have earned their certification with many forging lifelong networking relationships with industry peers and regulators.

The 2015 CRCP Program will be held July 12-17 and November 8-13, 2015 at Wharton’s Aresty Institute of Executive Education’s Steinberg Conference Center. Jill Fisch, Perry Golkin Professor of Law and co-director of the Institute for Law and Economics at the University of Pennsylvania and Eric W. Orts, Guardsmark Professor, Wharton School are co-academic directors of the program, which provides the latest developments in the securities law and regulation.

The CRCP Program draws on the expertise of leading academics and industry experts, such as:

  • Geoffrey Miller, Director, Center for Financial Institutions, Faculty Director, Program on Corporate Compliance and Enforcement, New York University School of Law
  • James Fanto, Gerald Baylin Professor of Law and co-director of the Center for the Study of Business Law and Regulation, Brooklyn Law School
  • Stephen Choi – Murray and Kathleen Bring Professor of Law, Director, Pollack Center, New York University    
  • William S. Laufer, Julian Aresty Professor, Director, The Carol and Lawrence Zicklin Center for Business Ethics Research, The Wharton School, University of Pennsylvania
  • David Skeel, S. Samuel Arsht Professor of Corporate Law, University of Pennsylvania Law School
  • Dan Hawke, National Unit Chief, SEC’s Market Abuse Unit

The program targets compliance professionals on a leadership track; high-potential regulatory, legal and compliance staff; business-line professionals with increasing compliance responsibilities; and legal and regulatory managers.

“The CRCP Program provides professionals with a comprehensive foundation of understanding for the securities laws and regulations and for the many compliance and ethical issues facing the industry,” says CRCP graduate Chip Jones, Senior Vice President, FINRA Member Relations and Education. In addition, “the biggest benefit of this program is having a peer group you can turn to and brainstorm solutions with when you have a compliance challenge at your firm.”

Co-academic director Jill E. Fisch says the program has evolved to meet the increasing complexity and globalization of the compliance industry – an industry that serves both retail investors and the most sophisticated of institutional players.    

“There are new challenges posed by technology, market innovation and globalization,” she says, citing as examples the rise in cyber security threats and money laundering schemes. “Participants will gain a much bigger sense of the regulatory and market structure that their work fits into both domestically and globally.”

In addition to live case simulations and an assessment, the program will cover all the major challenges facing brokerage and securities industry, including:

  • International Financial Regulation
  • Top Compliance Challenges
  • Public Offerings & Civil Liabilities
  • Financial Products
  • Broker-Dealer Regulation
  • Anti-Money Laundering Regulations
  • Business Ethics in the Financial Industry
  • Crowdfunding
  • Insider Trading
  • Market Regulation
  • Conflicts of Interest

Prospective candidates are encouraged to visit the FINRA website ( to determine if the program curriculum meets their needs.


FINRA, the Financial Industry Regulatory Authority, is the largest independent regulator for all securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation. FINRA touches virtually every aspect of the securities business – from registering and educating all industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws, and informing and educating the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers the largest dispute resolution forum for investors and firms. For more information, please visit


Founded in 1881 as the first collegiate business school, the Wharton School of the University of Pennsylvania is recognized globally for intellectual leadership and ongoing innovation across every major discipline of business education. With a broad global community and one of the most published business school faculties, Wharton creates economic and social value around the world. The School has 5,000 undergraduate, MBA, executive MBA, and doctoral students; more than 9,000 annual participants in executive education programs; and a powerful alumni network of 93,000 graduates.

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