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Training

Training

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.

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

Other topics can be tailored to fit the needs of your firm.

Get in touch for more information on our Training services. Email us at  wehelp@comarm.com