COMPLIANCE OFFICER TRAININGInvestment Reference now offers compliance training on an "in-house" basis. In an intensive, two-day, one-on-one training for your Compliance Officer. We go beyond the normal training, by showing how to spot developing problems in the organization. With our insight gained from working with various FCMs, and from doing hundreds of field and in-house audits, we try to help your Compliance Officer develop a "sixth-sense" with regard to the business in your company. He or she will always know what questions to ask of the Staff, APs and customers in an attempt to detect and eliminate potential problems before they start. We discuss the interpretive letters and rules of the NFA and how best to use them to the full advantage of your company. We help your Compliance Officers develop programs of their own to best work with and monitor the operation of the firm more efficiently. We can even alert them to certain words or phrases that, when heard, can mean impending problems; and when properly used, can bring an end to a threatening situation. Investment Reference is acutely aware of the need for your compliance officer to be as sharp as possible. It's not only all the new rules and interpretation of those rules by the NFA, but the ways these new rules and interpretations can work for your FCM or IIB instead of against it. To compete in this electronic, fast moving environment, you must have every possible edge. We at Investment Reference give you that edge by honing the skills of your compliance officer. Face it, your compliance officer is charged with the protection of your firm on many different fronts. They must monitor your personnel, with the eyes and ears of a hawk, for violations of rules 2-29, and 2-30. At the same time they must be able to verify that your new advertising campaign or upcoming seminar meets with all the requirement of the rules, while ensuring that all your APs are properly registered and are keeping up with their Ethics Training requirements. It's not easy, and I know you appreciate and respect that. You expect a lot from your compliance officer, now give them an opportunity to do an even better job for you by not only knowing the rules, but knowing how to use them to help your business grow instead of depressing it. If you work within the structure of the rules and interpretations, you will be surprised at the possibilities. Click here to visit
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