If you’re like many exempt market dealers, you probably spend time being concerned about how quickly regulations change, how to effectively allocate your resources, and whether you fully understand the regulations and how they affect you.
For example, the client-focused reforms that came into effect in 2021 were extensive and led to changes in not only policies and procedures but also the information you collect about clients and what you must disclose to them. It resulted in a lot of time and work.
During our time in the industry, we’ve seen how difficult it is to find answers that are easy to follow and understand. Having acted as a compliance monitor for clients, we know how significant the consequences of not following the regulations are can be. Unfortunately, the courses that are required for you to become registered can be too theoretical and may not help you make critical real-life decisions.
It’s important you have answers to your questions and that you fully understand how to remain compliant, even in the face of regulations that are constantly and quickly changing.
Our webinar series, Dos and Don’ts for Exempt Market Dealers, bridges that gap. During the 10-module program, we go through the practical steps involved in developing an effective compliance system and understanding the regulations. You’ll get practical information that empowers you to effectively run your business from a compliance perspective.
You’ll leave the course with an understanding of how the common prospectus exemptions operate, the restrictions on advising and selling, and what your responsibilities are. You’ll also learn to recognize some red flags in how clients operate, and how to carry out due diligence for your clients.
The program is entirely online, so you can work through it at your own pace. At the end of each module, you’ll take a short quiz that helps you track your progress and ensures you’ve taken in the information. Each module is roughly 20 minutes long and is designed to be easily understood, so you won’t have to wade through long, complex information.
To find out more about the program, click on the link. To find out more about our team and the services we offer, visit our website.
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