In today’s ever changing regulatory and business environment, staff training is key to enable securities dealers to meet their regulatory obligations, and to instill a culture of compliance amongst staff.
Training
Training
Comarm offers instructor led training in the following areas:
- AML Program training (annual requirement)
- Privacy training (annual requirement)
- 30 and 90-day training program for new registrants
- Inside information and information barriers
- Gatekeeper responsibilities
- Conflict of interest
- Outside Business Activities
- Client relationship model parts 1 and 2