Regulatory Compliance - Training & Questionnaire Solutions
Mary Zampino
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1. What vendors does your firm currently utilize for regulatory-required compliance training (e.g. for broker/dealer, investment advisors, etc.)? Does this vendor allow you to host content on your own Learning Management System?
2. What vendors or internal solutions does your firm utilize for regulatory-required Annual Compliance Meeting and Annual Compliance Questionnaire needs (e.g. SharePoint, etc.)? Do you have any issues/concerns with these current solutions?
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1. What vendors does your firm currently utilize for regulatory-required compliance training (e.g. for broker/dealer, investment advisors, etc.)? Does this vendor allow you to host content on your own Learning Management System?
2. What vendors or internal solutions does your firm utilize for regulatory-required Annual Compliance Meeting and Annual Compliance Questionnaire needs (e.g. SharePoint, etc.)? Do you have any issues/concerns with these current solutions?
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