This year, COMPLY published the 2024 U.S. Compliance Calendar Guide to help compliance professionals navigate the numerous and often onerous compliance reviews which must be conducted throughout the year.
But beyond simply marking your calendars, how do you know you’ve got all of your review to-dos complete and in proper order?
Watch this webinar recording to hear from COMPLY’s compliance consultants as they walk you through some of the key calendar items and best practices to ensure your reviews meet regulatory requirements. During this webinar, we cover reviews and assessments, including:
- Books and Records
- IAR Registration
- Personal Securities
- Client Suitability/Performance
- Marketing and Advertising
- Annual Review
- Risk Assessment
- AML
Please Note: 1 IACCP CE credit is available for this webinar.
