Direct Investment Bootcamp

​

We offer comprehensive training programs designed to help firms build and maintain robust compliance frameworks. Our half-day intensive workshops are customized to your firm's specific needs, whether you're a new RIA, an established Broker-Dealer, or expanding your service offerings.

 

Our specialized training covers essential regulatory and operational topics:

• Registration requirements and ongoing obligations

• Building effective compliance programs

• Implementing supervisory systems

• Documentation and recordkeeping requirements

• AML program development and maintenance

• Branch office supervision

• Principal and CCO responsibilities

• Regulatory exam preparation

• Risk assessment and mitigation strategies

Each training session is tailored to your firm's specific business model and regulatory requirements. We focus on practical implementation, providing real-world examples and solutions drawn from our decades of experience in compliance and operations.

Would you like me to refine this further to highlight any specific aspects of your training programs?