Company policies are essential to mitigate risk and limit liability. This course provides a checklist of items that should be included in a policy manual and introduces options for each component. From federal mandates, state regulations and Code of Ethics compliance to employment laws, data security, and brokerage policy options, you’ll come away with a clear understanding of what should be addressed. Pre-registration (by November 30 at 5:00PM EST) and additional $150 fee applies. No onsite registrants will be permitted.
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