Customized, specific training for your firm’s CCO, compliance and business staff is part of every one of our services — it’s a comprehensive but invaluable difference between us and other consulting firms. This close collaboration with our clients, combined with regular and thorough communication, helps them improve their core competencies while achieving compliance at the same time. If you’re looking for custom designed formal training, we can do that too.
Our customized training services include:
- Web-based platform that includes recorded presentations, reporting, and employee reminders
- Presentations include Founder and President Amy Lynch as moderator and select FrontLine experts
- Topics are customized by firm business model, regulatory hot topics, and high-risk areas
- All training presentations include an employee quiz to test employee knowledge and participation
- Annual Compliance Training for Rule 206(4)-7 or Rule 38a-1 compliance
- Ethics Training under NFA Rule 2-9
- Training for newly registered firms and their employees
- All required documentation in accordance with Rule 204-2 of the Advisers Act
FrontLine Compliance is your partner in training to help you prove your firm is in compliance and meeting its regulatory requirements.