I understand that this is an on-line program and will be instructor-led. What if I am not able to attend the live instructional video? Will there be a recording?
Courses are asynchronous where instructors provide materials, lectures, tests, and assignments that can be accessed at any time. Students may be given a timeframe – usually a one week window – during which they need to connect at least once or twice. But overall, students are free to contribute whenever they choose. Lectures are recorded and videos are available any time to the student through the Learning Management System.
What are the principle areas of compliance included in this program?
- Surveillance and Testing
- Compliance and Program Management
- Policies and Procedures
- Ethics and Conflicts of Interest
- Client Communications and Client Protection
- Regulatory Risk Management
- Registration and Regulatory Filings
- Books and Records
What is the average time commitment per week when taking these courses?
On average, you should expect to minimally dedicate 12-15 hours per week, per course. The rigor and expectations for campus and online instruction are the same.
What types of assignments will be required for these courses?
Assignments include written case studies, online discussions, power point presentations and labs
Are there any textbooks for the program?
Modern Compliance: Best Practices for Securities & Compliance; Compiled and edited by David H. Lui and John H. Walsh, will be used in all courses. The Modern Compliance book is offered complimentary by NSCP upon registration for the program. There will also be some additional text books required for some courses.
I am already an expert in one of the six courses. If I can prove my expertise in this area, can this count towards receiving credit?
No, Utica College does not offer this in their academic programs.
What if I have already taken a course at another accredited college? Will these credits transfer and apply?
Utica College will consider the transfer of credits on a case-by-case basis. Contact Utica College Admissions directly to inquire about credit transfer.
My employer would like for me to take the course on Assurance and Forensic Auditing. Am I able to just take one of the courses without going through the entire program?
Yes, but you will have to meet the academic requirements and follow the same application process as those applying for the full program, since you would receive academic credit for the one course.