BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser planning and updating your annual

planning and updating your annual compliance program

The 2019 Investment Adviser Annual Compliance Calendar Update serves as a valuable resource guide when preparing

Source/Author(s): Connexien

The BCP also includes a compliance attestation

Due Diligence Checklist for Third-Party Vendors

BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser planning and updating your annualThe 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