AdvisorAssist professionals can provide your firm with targeted training on regulatory and business topics. Our training seminars are conducted in various formats (on-site training, webinars, conference calls) which are tailored to meet the needs of your firm. These sessions can be either structured or open discussions based on the topics important to you.
Common training programs requested include:
New Chief Compliance Officer Orientation
Preparing for SEC or State Registration
Developing an Effective Compliance Program
Drafting an Investment Policy Statement
Preparing for a Regulatory Examination
Performing a Compliance Self-Assessment
For more information on our training programs, please contact us at (617) 800-0388, Option 1.