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. The topics will include:

* Using compliance technology to bolster your report by providing supporting evidence for your conclusions
* Recommended information to include on key subjects 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.

Tuesday, February 11, 2020


As the coronavirus spreads Elinphant is taking precautions to ensure that all of our clients and employees stay healthy.
We will practice social distancing, skipping non-essential business travel and letting employees work from home and conduct virtual meetings as much as possible. Of course, the health of your business is also important to the Elinphant team.
We will continue to work for you as usual and will gladly meet at your offices at your discretion.