The complexity of today’s regulatory requirements, compounded by the increased nature of risk, has made compliance training and education a crucial aspect of a firm’s ongoing success.
In 2020, the North American Securities Administration Association (NASAA) implemented an IAR continuing education (CE) requirement to ensure its members receive proper and updated training on the securities business relevant to their duties and obligations. COMPLY is an approved continuing education provider, with resources and training materials available to help you complete IAR requirements with ease.
FINRA Rule 3310 and the Bank Secrecy Act require that financial institutions, including broker-dealers, implement an Anti-Money Laundering (AML) program with appropriate policies and procedures in place, including a customer identification program. In addition, many investment advisers’ business practices dictate, or their customers require, that they implement an AML program regardless of whether it is required by law. COMPLY’s AML Training offers an affordable and cost-effective method to stay compliant.
Has your annual review or latest regulatory examination identified a compliance issue on which your staff could use additional targeted training? Custom Training programs are developed and conducted by the COMPLY team of expert compliance professionals with decades of experience working as CCOs, lawyers, and regulators.
“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Education and training modules designed by compliance professionals for your firm’s specific needs. Lean into your resources and maintain industry education requirements, with the support of an industry recognized program.
Register for COMPLY’s upcoming webinars for expert insight into key compliance areas and how to adapt your program to meet new requirements.
