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Annual Compliance Training – Case Studies – RFP, Alternative Investments and Service Provider


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Annual Compliance Training – Case Studies – RFP, Alternative Investments and Service Provider

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This sample training material is intended for annual compliance training of supervised persons of an investment adviser firm. There are three case studies covering request for proposal, alternative investments and a service provider.  The cases involve advertising/marketing, fiduciary of care when recommending investments, due diligence, conflicts of interest, outside business activities and entertainment and travel.   Included with Gold, Platinum & Titanium Packages. Available for a la carte purchase at: https://www.ria-compliance-consultants.com/product/annual-compliance-training-investment-adviser/

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.