Suitability, Supervision and Surveillance

Accreditation Wreath Icon AL
SKU: FIN4800
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Panelists for this CLE course will present key issues regarding compliance with the suitability rule and provide advice on how firms and registered representatives can better analyze customers in order to do so. The course will discuss industry trends and how they intersect with suitability requirements such as senior customers, IRA rollovers, concentration levels, online recommendations and sales of complex products. The panelists will compare and contrast how broker-dealers use different business models to comply with requirements and offer experience-based strategies to enhance compliance and examination planning.
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