Doing More With Less: Challenges of a Small Firm Compliance Department

SKU: SEC002

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and with Live Webinars!

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About This Course

Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfill their duties as officers of their firms.

A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effective compliance program at a small firm.

After attending this session, you will be able to:

  • Educate senior management on risk, cost and needs
  • Review the cost of non-compliance
  • Review resources and vendors
  • Invest in highly trained compliance professionals

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

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CDs, DVDs, Online, iOS & Android App, USB Stick

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