Needs Analysis - Each
registered broker/dealer's responsibility to perform the necessary evaluation
and assessment of the unique needs of its business and personnel. We have
obtained the required elements of a complete survey from regulators and have
incorporated those elements into our online needs analysis. Our
survey solicits information including, products (retail and institutional),
suitability, customer communications and supervisory responsibility. Once the
required percentage of your
representatives complete the survey we will summarize the responses and return
a comprehensive report and analysis of your firm's needs and knowledge levels.
Plan Document
- The
process begins with the creation of a plan delivered to you for your review
and comments. Upon completion of the Needs Analysis (online by your
associates), we write a company specific Educational Plan which includes
course selection for the year, delivery medium, educational goals, tracking
methods.
Course Modules-
Based on the results of your needs analysis we will select from a
unique curriculum of 200 different course titles available to mix and match
among your registered representative population any way you desire. An
unlimited number of our courses are available for your annual usage. Courses
are available via internet and text format. Your representatives attend the
online course assigned to them and take a 25-question retention exam to verify
completion.
Tracking- Our automated
tracking and reporting system allows you to track any of your
representative’s compliance and/or educational needs.
In short, it tracks everything in one location. The amount of time and
effort we can save you is quite substantial while ensuring you that you are in
complete compliance and protecting you from potential regulatory problems.
Series