ABTrainingCenter.com provides CE (continuing education), professional development, and NASD and insurance licensing and designation study courses such as Series 7, CFP, CLU, and CPCU designations for brokers, agents, and financial service providers

Compliance

Mutual fund scandals, corporate malfeasance, deep market corrections and litigious clients have caused the financial services industry to undergo significant changes in the past number of years with respect to legislative and regulatory compliance.

Advisors and financial institutions are faced with an increasing number of compliance regulations, which now also carry stiffer penalties for non-compliance.

There are literally hundreds of compliance regulations that require greater understanding and frequent training, some examples include:

  • ERISA
  • Anti-Money Laundering
  • Branch Office Audits
  • Churning and Excessive Trading
  • Client Accounts, Orders and Disclosure Issues
  • Ethics
  • Fiduciary Responsibility
  • Mutual Fund Sales Practices
As such, some firms perform some or all of their compliance requirements themselves, or outsource all or part of their compliance administrative requirements to a Third Party Administrator (TPA).

So if you are seeking additional compliance training or outsourcing services, let VendorPedia help you with additional Compliance resources!

Find Self-Study, Online, Or Classroom Courses In Your Area
Licensing
Earn your License quickly and easily!
Designations/Certifications
Improve your knowledge and industry standing!
Professional Development
Products & Services to help manage and grow your career!







Need training or resources in other areas? Try our other Training Center sites:

HR, Acct., Banking, Insurance, Fin. Svcs., Real Estate, Mortgage, HealthCare, Safety, Sales

Share on Facebook


Share on Twitter


Share on Google+

Texas All-Lines Adjuster Pre-Licensing ONLINE Course
Texas All-Lines Adjuster Pre-Licensing ONLINE Course

Securities Licensing
Securities Licensing

Insurance License
Insurance License

Xactimate Training-Live Online Training
Xactimate Training-Live Online Training

Adjuster Licensing
Adjuster Licensing

Workers′ Comp Training Seminar
Workers′ Comp Training Seminar

How Workers′ Compensation Works (Comprehensive 11-Module Course)
How Workers′ Compensation Works (Comprehensive 11-Module Course)

FMLA Training &Certification Program
FMLA Training &Certification Program

Critical Selling® Skills Sales Training Seminar
Critical Selling® Skills Sales Training Seminar

Surplus Lines Online Exam Prep Course
Surplus Lines Online Exam Prep Course

CFP® Review │ Premium Live Exam Prep Course
CFP® Review │ Premium Live Exam Prep Course

Qualified Financial Advisor (QFA)
Qualified Financial Advisor (QFA)

Business Writing for Results
Business Writing for Results

Cafeteria Plan Training &Certification Program
Cafeteria Plan Training &Certification Program

Certified Annuity Specialist (CAS)
Certified Annuity Specialist (CAS)

ARM
ARM

Google+ABTrainingCenter.com. 5755 North Point Parkway, Suite 228 | Alpharetta, GA 30022 | 770-410-9375 | support@ABTrainingCenter.com
Copyright ABTrainingCenter.com 2017 | Web Site Development by OTAU
Facebook