Compliance Training

December 20, 2006

Our next installment of the “Year-End Compliance Tips” series is a reminder to advisors about compliance training. This time of year is a great time to hold compliance training for all employees and representatives. This is because many firms implement new policies or advisory programs set to take effect at the beginning of the year. Any time a new rule or program is implemented, it is imperative that proper training be provided so all employees are aware of the changes. While we recommend more frequent training sessions or meetings, an annual process is essential in today’s regulatory landscape.

While we are trying to focus on items all advisor firms are required to complete, it is important that you refer to your regulatory authority to ensure you have an all inclusive list of the requirements your firm must meet. If you would like suggestions about training topics or are interested in having RIA Compliance Consultants provide training to your firm, please give us a call.

Posted by Bryan Hill
Labels: Compliance Training