Compliance training is an important part of any investment adviser’s compliance program. We provide training on all compliance topics, including:
- Ethics and fiduciary duties
- Insider trading
- Anti-Money laundering
- Privacy, confidentiality and cybersecurity
- Compliance Manual overview
- Trade practices including best execution, trade allocation and valuation
All our training modules are tailored specifically to your firm. Your personnel will find all training sessions relevant and engaging!