<img src="https://ws.zoominfo.com/pixel/EK6Js72UOW761O6mLa8g" width="1" height="1" style="display: none;">

Compiling an Efficient and Substantive Annual Compliance Report

    

With March deadlines looming, is your organization ready to provide a substantive annual compliance report? 

Join Elin Cherry from Elinphant LLC for helpful guidance on how to efficiently and effectively compile your annual compliance report, including:

  • Using compliance technology to bolster your report your report by providing supporting evidence for your conclusions
  • Recommended information to include on key topics such as Employee Trading, Attestations, Outside Business Activities and more
  • How to incorporate FINRA Systems including Report Cards, BD Updates, and U-4 and U-5 processing

A Q&A session will follow.

Register Now!

 

Comments