Compliance Trainings (Firm Wide & Chief Compliance Officer Training)

In a constantly evolving regulatory environment, properly trained and empowered compliance professionals are essential to the success of a compliance program and help reduce regulatory, financial, and other risks.

Who the training is built for

Whether you are a newly formed investment adviser or broker-dealer conducting an initial firm-wide compliance training, or an established firm running an annual refresher, Coast to Coast Compliance builds customized compliance training specific to the needs of your firm and its personnel.

What the training covers

Compliance trainings cover the required elements of an investment adviser or broker-dealer compliance program, your firm's specific policies and procedures, and any new developments in securities laws or regulations. Topics often include:

• Conflicts of interest and rules of conduct
• Supervisory and compliance oversight
• Books and records requirements
• Advertising and marketing material
• Portfolio management and disclosure obligations
• Fees and expenses
• Custody
• Safeguarding client information, privacy, and identity theft protection
• Insider trading prevention
• Anti-money laundering prevention
• Cybersecurity preparedness
• Business continuity

Training records for examinations

Coast to Coast Compliance provides records showing the persons trained, the dates of training, and the subject matter covered. Examiners routinely ask for these during an SEC examination, and they are the evidence that your program operates in practice rather than on paper.

New-hire and CCO training

We remain an as-needed resource for your firm and can develop new-hire employee compliance training, or customized training to keep your Chief Compliance Officer and compliance personnel current on the latest regulatory requirements and best practices. To build a training plan, contact us.