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