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 firstname.lastname@example.org