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Training
& Continuing Education Services
We
provide clients with a variety of training and continuing
education programs that are practical, informative,
and designed to meet their specific needs. Among the
programs we offer are the following:
- Anti-Money
Laundering Compliance - Basic and Advanced
- Privacy Training Compliance - Basic and Advanced
- NASD Firm Element Training
- Regulatory Exam Strategies
- SEC Inspection Strategies: "How to Prepare
for an SEC Exam"
- "The Science of Compliance - How to be a (Better)
Compliance Officer"
- Employment Practices: "The Do's and Dont's
of Hiring and Firing"
We
are also happy to work with you to design courses and
materials that suit your firm's particular needs in
a variety of other areas. Please call us if you would
like to discuss your training needs.
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