Compliance Trainings (Firm Wide & Chief Compliance Officer Training)

In a constantly evolving regulatory environment, properly trained and empowered compliance professionals are essential to the success of a compliance program and help reduce regulatory, financial, and other risks.

Whether you are a newly formed investment adviser or broker-dealer seeking to conduct an initial firm-wide compliance training or an established firm seeking to conduct a firm-wide annual compliance training refresher, Coast to Coast Compliance can build customized compliance training specific to the needs of your firm and its personnel.  Coast to Coast Compliance can also provide records to show the persons trained, the dates of training, and the subject matter of the compliance training.

Compliance trainings cover the required elements of an investment adviser or broker-dealer compliance program, the firm’s specific policies and procedures, and any new developments in securities laws or regulations.  Compliance trainings often include, among other topics, information related to: conflicts of interest, rules of conduct, supervisory and compliance oversight; books and records requirements; advertising and marketing material; portfolio management and disclosure obligations; fees and expenses; custody; safeguarding client information; privacy and identity theft protection; insider trading prevention; anti-money laundering prevention; cybersecurity preparedness; and business continuity.

Coast to Coast Compliance can also remain an as-needed resource for your firm and develop new-hire employee compliance training, or customized compliance training to keep your CCO and/or compliance personnel current on the latest regulatory requirements and best practices.