SECURITIES INDUSTRY EXPERT

Suitability

Sales Practices

Supervision

Compliance

Employment

Recruiting

U-4, U-5 Issues

Selling Away

 

Branch Manager Development

Recruiting

Delegation

Sales Management

Compliance

P&L Management

Audit Preparation

CONSULTING SERVICES

Registered Investor Advisor Issues

IInsurance and Annuities

Stocks, Bonds, and Options

Mutual Funds, UIT, ETF

CMO, ABS, CDO, ARS, MBS

Operations Issues

Branch Administration

Cashiering

 

 

Compliance

Annual Compliance Meetings

New Suitability Rule

Current Regulatory Focus

Best Practices

Privacy Issues

Risk Management