REGULATORY TRAINING
We provide up-to-date private narrated training modules and quizzes that your employees can access from their desks or remotely.
Training modules are specifically designed for Portfolio Managers, Investment Fund Managers and Exempt Market Dealers and are tailored to your firm’s business model and policies. For your books and records, training modules are grouped by year and you receive the training logs evidencing the training and quizzes completed by your staff.
As new requirements pop up and existing guidance changes, we are continually revising and adding to our training library. Training sessions include Anti-Money Laundering, Know Your Client (KYC) /Know Your Product (KYP) and Suitability, Marketing, Privacy, Anti-Spam Legislation and Dealing with Senior and Vulnerable Clients.