education, training, regulatory affairs and reading.
compliance; management; education; student interaction
Compliance Training Author and Facilitator
Organizational Structure | New comment by Cindy Bryant
Thank you for expressing your opinion in the forum. Getting to know your employees and peers is very important to create the synergy to be successful.
Student Services | New comment by Cindy Bryant
There is nothing wrong with keeping it simple. It is hard work but I am sure that you feel the gratitude at graduation. :)
Physical Notebook or Electronic? Which Format? | New comment by Cindy Bryant
Many school associates prefer the physical notebook to the electronic version. It allows them to feel something that is tangible and it allows them to provide a document to the...
Keeping Up with Changes | New comment by Cindy Bryant
Creating a compliant environment takes practice and can be hard work through trial and error. It appears that you have worked through many scenarios to find what works best for your...
Thank you for sharing your best practice with the forum.
Catalog Requirements | New comment by Cindy Bryant
Hi! Welcome to the forum. Using your catalog is a great way method for delivering training. It allows the trainers to send a consistent message that is compliant with the standards and...
Limitations | New comment by Cindy Bryant
Thank you for asking these important questions. The word small is relative in comparison to other class sizes as you mentioned. My interpretation would be that "small classes" would be any...
Managing Consumer Disclosures | New comment by Cindy Bryant
Hi!, welcome to the forum. You have asked a great question and I would like to hear other responses. "How is everyone else handling compliance questions with the student?"
Many times students fail to read the small print in disclosures, as you mentioned. This is why associates should encourage students to read through disclosures.
Providing Disclosures | New comment by Cindy Bryant
I have not been aware of students that were forced to accept funds that exceeded the cost of their education but I have known students to request stipends against their FA Adviser's better...
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