As we enter a new year our compliance requirements all reset. Here is a brief overview of what you have to look forward to this year:
Quarterly Questionnaires emailed from compliance in March, May, August and November. We divide up the annual attestation into four parts so it is not so daunting for you to complete or for our team to review.
Periodic Compliance Bulletins emailed from me. Typically sent out 8-10 times a year with 5-6 bullet points of important reminders. You must read these.
FINRA Regulatory Continuing Education through FINPRO. Now an annual requirement from FINRA, you can complete it anytime during the year. You login through finpro.finra.org to begin.
Firm Element Continuing Education through RegEd. This must be completed by October. We typically send the information from compliance in May.
Compliance Meeting attendance through an in person meeting or a webinar. This is your chance to ask questions and learn more about our compliance program.
Office Audit either remote or in person if scheduled this year. You will hear from us if you are scheduled for this year.
Responding to Ad Hoc requests from us. These may be from a regulator or additional information we need. Please respond promptly.
And of course, we expect everyone to follow the state and federal rules and regulations and The Leaders Group policies.
Please don’t hesitate to reach out to me or the Compliance Team with any questions or concerns.
