A Better Way to Track Registrations and Licenses

With the fourth quarter of 2022 just weeks away, firms should be thinking about getting their ducks in a row for annual renewals. But managing Authorizations, Registrations and Licensing (ARL), shouldn’t be a concern just at end of year or during the on-boarding process.

Taking an automated approach to managing ARL within your firm makes it easier for employees to fulfill their responsibilities and frees up your compliance team to focus on higher priorities. It also reduces the risk of regulatory censure from issues like missing background checks or having employees offer services they are not authorized to carry out.

Join MCO’s Sinead Egan for practical guidance on how to step away from spreadsheets and Google forms and make managing Authorizations, Registrations and Licensing a seamless part of your compliance program.

We’ll cover:

• Streamlining the onboarding process
• Keeping up with ad-hoc changes throughout the year
• Simplifying the yearly renewal process
• Types of ARL data your firm should be collecting

Sinead will also share a look at how the MyComplianceOffice platform helps firms take an intentional and automated approach to ARL.