Annual Compliance Meeting

Interactive Learning Group's ACM allows firms to select from over 12 compliance topics to build a  custom  course  to  meet   the   FINRA  3110 (BD) and  SEC  Rule  206(4)-7 (IA) requirement.   Our engageing, interactive and modular course approach ensures that your annual meeting meets your compliance objectives.

THE BENEFITS OF AN ANNUAL COMPLIANCE COURSE ARE PLENTY:

REDUCES COST      PROOF OF PARTICIPATION       NO TRAVEL

Interactive Learning Group’s ACM course has been used by compliance officers since 2009, and meets the FINRA and SEC requirements. As for Examiners - they like it! ACM provides the coverage, evidence, and individual accountability that examiners want to see when auditing this regulatory requirement.

Don’t kill your audience with PowerPoint and don’t fall short with examiners -use ACM from ILG.

A SAMPLING OF ANNUAL COMPLIANCE MEETING TOPICS:

Anti-Money Laundering                           Information Barriers

Confidentiality                                         Inside Information

Conflicts of Interest                                OFAC Sanctions

Electronic Communications                    Dealing with Senior Investors

Employee Personal Trading                   Standards of Professional Conduct

Foreign Corrupt Practices Act                Suitability

Gifts and Entertainment                          Your Duties

Since Interactive Learning Group's ACM is modular, compliance officers can choose which modules they want, and each module is tracked separately.

Contact us for a demonstration at 978-266-2672 or info@interactivelg.com