Tuesday, January 12, 2016

Conduct an Annual Compliance Meeting

The CCO is required to ensure the firm's compliance program is effectively designed and implemented to prevent, detect and correct any violation of the securities laws.

Further, the Securities Regulators generally take the position that testing and training must be documented.

AdvisorAssist believes that it is important for every firm to conduct an Annual Compliance Meeting. AdvisorAssist can support your CCO in delivering an update on the key risks, regulatory focus areas, and core compliance topics.

Please contact us at Support@AdvisorAssist.com to schedule for your firm.

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