IAR CE, AML, and Other Training

In 2020, the North American Securities Administration Association (NASAA) implemented an IAR continuing education (CE) requirement to ensure its members receive proper and updated training on the securities business relevant to their duties and obligations. COMPLY is an approved continuing education provider, with resources and training materials available to help you complete IAR requirements with ease.

• Access quality content and courses created by former regulators, compliance consultants, and cybersecurity experts
• Leverage on-demand course selection
• Monitor course completion

FINRA Rule 3310 and the Bank Secrecy Act require that financial institutions, including broker-dealers, implement an Anti-Money Laundering (AML) program with appropriate policies and procedures in place, including a customer identification program. In addition, many investment advisers’ business practices dictate, or their customers require, that they implement an AML program regardless of whether it is required by law. COMPLY’s AML Training offers an affordable and cost-effective method to stay compliant.

• Educate employees on the latest trends in money laundering and how to detect them
• Identify trends in the reporting of suspicious activity, the newest schemes used in the placement, layering and integration of money, countries in high‐risk categories
• Explore case studies highlighting consequences of non-compliance with AML rules and regulations

Has your annual review or latest regulatory examination identified a compliance issue on which your staff could use additional targeted training? Custom Training programs are developed and conducted by the COMPLY team of expert compliance professionals with decades of experience working as CCOs, lawyers, and regulators.

• Identify your educational goals and create a custom curriculum that will achieve your compliance objectives and create a culture of compliance
• Address your firm’s unique needs – from general compliance and code of ethics training to hedge fund solutions and more