shopping cart


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:

  • 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 Seminars, Webinars, And Online Training In Your Area
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!
Share on Facebook

Share on Twitter
About Us Privacy Guarantee Affiliate List Your Courses Contact Us My Account 5755 North Point Parkway, Suite 227 | Alpharetta, GA 30022 | 770-410-9375 |
Copyright 2018 | Web Site Development by OTAU