Focusing on retail branch offices, this course reviews key supervisory obligations. Participants review topics on the supervision of sales practices and the consequences of failing to adequately supervise.

• recognize the importance of knowing the products and business you are supervising
• describe your supervisory obligations to conduct thorough suitability reviews
• analyze information before approving or signing off on transactions, reports, and communications
• maintain a balance between your supervisory duties and other responsibilities
• promptly identify, follow up on, and escalate “red flags” when supervising your associated persons
• explain the consequences of failing to adequately supervise

Registered principals