|
Compliance
Training
As the product mix and methods of execution of securities transactions
become increasingly diverse, principals designated with the responsibility
of supervising registered personnel are faced with more difficult
challenges.
Depending on your specific needs:
We can visit your firm to train and work with your principals
on the duties and responsibilities associated with a position
of compliance.
Provide guidance on an "as needed" basis. Our compliance training
services include:
Advertising
Audit Reviews: Internal and Branch
Books and Records
Continuing Education
Customer Complaints
FOCUS
Licensing and Registration
MSRB Rule Compliance
Net Capital
Reserve Formula
Sales Practices
Trading and Market Making Compliance
Website review and maintenance
A properly
trained principal may reduce the firm's customer complaints, and reduce
costly mistakes, fines and censures. For more information regarding
our compliance training program, please contact us at 818-386-6900.
|
|
