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:
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).
- Anti-Money Laundering
- Branch Office Audits
- Churning and Excessive Trading
- Client Accounts, Orders and Disclosure Issues
- Fiduciary Responsibility
- Mutual Fund Sales Practices
So if you are seeking additional compliance training or outsourcing services, let VendorPedia help you with additional Compliance resources!
Earn your License quickly and easily!
Improve your knowledge and industry standing!
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+
How To Conduct A Reasonable Accommodation Discussion
Texas All-Lines Adjuster Pre-Licensing ONLINE Course
Xactimate Training-Live Online Training
Associate in General Insurance (AINS)
Associate in Premium Auditing (APA)
Earn Your CFP
Surplus Lines Online Exam Prep Course
Workers′ Comp Training Seminar
Cafeteria Plan Training &Certification Program
FMLA Training &Certification Program
How To Read And Understand Financial Statements