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Compliance Training + Education Courses

Foreside provides access to online training and educational courses that can be employed by investment advisors and broker dealers to train and educate employees on important compliance matters and themes, as well as meet a broker dealer’s firm element requirements.  Firms have access to a comprehensive list of online courses, which can be accessed by employees at a time that is most convenient for them.   Educational courses are tailored for Foreside’s investment advisor and broker dealer audiences, and Foreside continues to expand its available course offerings, including soon to be released CCO training courses.  Our solution includes:

  • Robust catalog of courses covering variety of compliance topics
  • Unlimited distribution of courses all at once or at intervals throughout the year
  • Track employee completion of each course
  • Employees take courses on their schedule, meeting deadlines set by the firm
  • Each course is followed up by an assessment of the employee’s comprehension of covered material
  • Ability to rollout specific courses for designated staff based on job function

 

Click here for Investment Advisor Course Catalog

Broker-Dealer Course Catalog coming soon!

 

why foreside makes sense

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partnership for growth

We provide our clients the most innovative offerings that help drive their business forward. 

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Consultative + Comprehensive

We see regulation as a catalyst for innovation. 

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transformative tech

We apply best-in-class technology to address today’s regulatory reality and drive operational efficiency.