Professionals at AUM Law can help registered firms meet their training obligations by providing in-person or virtual training for staff, tailored to the requirements that apply to your firm, on a fixed-fee basis. We provide training on several core regulatory topics, including AML obligations, getting your firm audit ready, KYC/KYP/Suitability, and conflicts of interest. If you would like to learn more, please contact us or ask about our training brochure.
May 30, 2024