ONLINE ANNUAL COMPLIANCE TRAINING Investment advisory personnel are required to have annual compliance training .  Many firms do this with expensive in-person meetings.  Here is an affordable alternative that will meet your compliance training needs.  Take our online 2017 compliance training course.  It is archived, and available to rake 24/7.  The attendance is recorded, you have a chance to question and get answers and there is a 15 question test at the end which is graded.  We send every participant a certificate once completed and we send you or your firm  the records to show regulators when they ask. The course consists of 6 sessions:
  1. Creating a Culture of Compliance: “In the best interest of the client”
  2. Potential problem areas:
            Fees             Disclosures             Communications             Misrepresentations             Client mis-understanding
  1. More issues and potential problems:
            Rep as portfolio manager             Custody             Cybersecurity             Foreign accounts
  1. Hot issues in compliance
            Rolling a 401K into an IRA             The DOL Fiduciary Rule and the SEC Fiduciary Rule
  1. How compliance protects you and the firm
            Reviews             Approvals             Attestations             Marketing material             Practical Tips
  1. Policies and Procedures.
            Test If you want to take this standard course, it is $19 per participant starting July 1, 2017. Customized to your firm?  We can customize this with your logo and brand and special content you want us to deliver specific to your firm.