Training Materials

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

$300.00

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.

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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.  Initially posted in November 2024.

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