Hiring and Supervising Registered Representatives in the Retail Space

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Alaska CLE
Accreditation Info

United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space. After attending this session, you will: • Understand effective practices for assessing risk when considering registered representatives (RRs) for employment; • Learn how to conduct background checks. • Review screening techniques. • Identify why compliance should be involved in the on-boarding and termination process. • Learn of effective risk management controls to mitigate risk associated with registered representative activities
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