Compliance Training

Compliance Solutions

• Broker-Dealer Services
• Chief Compliance Officer Outsourcing
• Compliance Consulting
• Compliance Program Oversight and Monitoring
• Compliance Training
• Derivatives Compliance
• Hedge Fund Compliance
• Investment Advisor Compliance
• Principal Financial Officer Outsourcing
• Private Equity Firm Compliance

Our trainings meet SRO continuing education requirements

Alaric's experts can deliver firm element continuing education programs for registered investment advisory firms and broker-dealers:

• Alaric's experts develop effective training programs based on the specific needs of each client's business activities and its registered representatives.
• Our trainings meet SRO continuing education requirements.

 

 

 

 

 

 

 

Newsroom

• May 2009
  COMPLIANCE WATCH: The Call a Hedge Fund Investor Should Make, COMPLIANCE WATCH, Dow Jones Newswire, posted on wsj.com on May 14, 2009
• September 2004
  The Playing Field: Compliance Zero Hour, Investor Advisor
• More News