Broker Dealer- Seminars and 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, via conference call and via web-cast.

SCA will customize programs to meet every firm's needs. Although not all-inclusive, the following is a list of examples of training programs offered by SCA:

• 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 and 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; and
• Anti-Money Laundering Compliance.

In addition, all of SCA’s training programs are designed to ensure that participants receive continuing education credits.

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, SCA understands this need and the difficulties firms have in staying informed and up-to-date.

As a result, SCA develops and delivers compliance seminars and annual compliance meetings tailored to every 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.