About This Course
This CLE program provides guidance on managing compliance requirements with limited staff and resources. Join seasoned small firm professionals and FINRA staff as they share helpful hints and effective practices that have made their business models successful. Panelists will share how they stay informed of regulatory changes, limit risk exposure and provide daily tips and techniques they use to get the job done with limited resources.
Topics discussed:
- Discuss prioritizing compliance tasks based upon risk and time commitment.
- Create and follow a calendar of all compliance and regulatory reporting tasks.
- Review and determine the use of consultants.
- Create clear responsibilities and reporting lines.
- Review tips and techniques for updating procedures
FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.