514 564-9955

Compliance training

Compliance training

Phocion can educate and train your team on how to implement a compliance program that meets with industry best practices while also being tailored to your company’s unique structure. Examples of areas where compliance controls are required are:

  • Conflicts of Interest
  • Anti-Money Laundering (AML)
  • Fair Dealing
  • Personal Trading
  • Marketing Materials
  • Electronic Communication