Continuing Education (CE)

Securities industry mandated programs, “Regulatory and Firm element” programs that satisfy the CE requirement established by regulators.

Regulatory CE includes compliance, regulatory, ethical sales practices based on industry rules and regulations, accepted standards and best practices.

Firm CE is based on the client firm’s Need Analysis and the Written Training Plan. We offer a dual approach:

  • Develop appropriate training content to address the needs identified during the Needs Analysis
  • Assist in the Need Analysis and construct the Written Training Plan