Compliance 101

Course Writer
Oliver Publishing

Course Description
Being compliant can be a challenge for all members of the financial services industry. However, there is no excuse for not knowing! Being aware of the vast number of rules and regulations for which compliance is required is a must. This course provides a useful background on the subject, guidelines for compliant behaviour, plus details on how advisors can inadvertently "go wrong". Compliance 101 is essential CE.

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License or Certification