Continuing Education Programs for Investment Advisors

ACI helps our clients to develop a comprehensive compliance program to meet SEC Rule 206 and recommends clients include as part of this compliance program the continuing education component that is already specified by FINRA for Broker Dealer firms. ACI can oversee compliance to the continuing education portion of the Investment Advisor's compliance program by conducting a comprehensive review of their supervisory procedural manual to insure that the internal processes necessary to adhere to the continuing education requirements are present.  ACI continuously evaluates training needs in order to provide training services for the firm requirement.



To inquire into ACI's Continuing Education services, contact us at info@acisecure.com.
Accounting Ad