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:
- Creating a Culture of Compliance: “In the best interest of the client”
- Potential problem areas:
- More issues and potential problems:
- Hot issues in compliance
- How compliance protects you and the firm
- Policies and Procedures.