Seminars & Compliance Meetings

BROKER DEALER

Comprehensive Compliance Services

Written Supervisory Procedures

Supervisory Controls (3012-3013)

AML Programs & Audits

Full Service B/D Registration

Continuance in Membership

Branch Office Audits

NASD Mock Examinations

State Registrations and Licensing

FinOp & FOCUS Consulting

Seminars & Compliance Meetings

CE Needs Assessment & Training

INVESTMENT ADVISER

HEDGE FUND

Compliance Consulting

Broker Dealer

Seminars & Compliance Meetings
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Challenges for principals and compliance staff continue to grow with the recent onslaught of new rules and regulatory initiatives. In an effort to assist firms in meeting these challenges, SCA offers compliance and supervisory training in person and via web-cast.

The following list of training programs offered by SCA is not all-inclusive. SCA will customize programs to meet your firm's needs. All of our training programs are designed so the participants will receive continuing education credits:

	Supervision
	Developing and monitoring Internal Controls
	Anti-Money Laundering Supervision/Audits
	Training for Compliance Staff
	Best Execution Monitoring
	Licensing and Registration including CRD Training
	Handling Regulatory Inquiries and Audits
	Branch Audits and Internal Home Office Audits
	Financial and Operations including Net Capital Computation, Reserve Calculations, and FOCUS filings
	Back-Office Set-Up and Operations, maintenance and retention of Books and Records
	Continuing Education and CRD Maintenance
	MSRB Compliance
	Short Selling and Reporting
	Penny Stock Compliance
	Communications with the Public
	Advertising and Public Communications (including Electronic) Compliance
	Website and Electronic Media Compliance
	Sales Practices
	New Products or Services
	Compliance with the Privacy Rules
	Handling Customer Complaints, including Common Violations
	Private Securities Transactions and Reporting
	Trading and Market Making Compliance
	Compliance with Analysts Rules
	Due Diligence and Other Requirements for Firms Selling Private Placements
	Outside Business Activities and Reporting
	Order Execution, Time Stamping and Reporting
	Anti-Money Laundering Compliance

Understanding new rules or amendments and their affects on your firm's business and its registered representatives' activities is a necessary skill in maintaining compliance. As former compliance officers, we understand this need and the difficulties firms have in staying informed and up-to-date.

As a result, we develop and deliver compliance seminars and annual compliance meetings tailored to the firm's specific business activities and compliance needs. SCA also offers seminars and compliance meetings on specific rules, topics, product lines and/or business activities, as requested by clients.