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The Training Packet also includes an attendance sheet and an annual compliance certification with thirteen separate sections for registered and associated persons to complete as documentary evidence of completion
The 2019 Investment Adviser Annual Compliance Calendar Update serves as a valuable resource guide when preparing
The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section
The BCP also includes a compliance attestation
BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The Training Packet also includesThe Small Firm Broker Dealer Annual Compliance Meeting & Training Packet serves as a ready made template to help small firms meet the requirements under FINRA Rule 3110(a)(7). The Training Packet includes twenty seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each years FINRA Regulatory and Examination Priorities Letter. The
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