Prepare to Dazzle

TurboCompliance^® works in concert with your CCO to develop a training program based upon your TurboCompliance Platform. In each case, your CCO and the initial implementation consultant, design, develop and deliver the training for each department or division of your firm.

Our training regiment addresses each aspect of your Written Supervisory Procedures, AML Procedures, Ethics Code & Insider Trading Procedures as well as your Business Continuity Plan, including:

• Compliance Monitoring
• Marketing & Advertising
• Solicitors
• Private Placement Compliance
• OFAC and KYC Monitoring & Reporting
• Account Documentation & Disclosure
• ERISA
• Books and Records
• Portfolio Management & Trading
• Best Execution & Soft Dollars
• Valuation
• Proxy Voting
• SEC Examinations & Reporting
• Privacy