12d. ALL – Implementing a Compliance Calendar (Intermediate)


Many tasks in compliance are periodic and compliance calendars are a useful tool to make sure procedures are being executed. This session will show you how to create and customize a compliance calendar tailored to your firm’s policies and procedures.

Learning Objectives:

  • Learn the roles of the calendar in your compliance program
  • Map the compliance calendar to your compliance program for effective results
  • Explore the advantages of automated calendars
  • Discuss how to use calendars that are integrated with comprehensive compliance software

 

Sponsored by:

Basic                        Program Level: Date: October 21, 2020 Time: 3:45 pm - 5:00 pm Keith Pyke Philip Wellman

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