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Industry Challenge
Licensed insurance agents, registered representatives and financial advisors must meet firm-mandated and regulator mandated requirements for compliance education, code of ethics training, insurance and securities continuing education and training on the investment products they sell. Additionally, they must fulfill education requirements to maintain the professional designations they hold.

Financial services firms must ensure that their employees, agents and representatives are aware of and fulfill their ongoing compliance education requirements, are highly knowledgeable about the investment products they represent and understand and comply with the firm’s corporate training. Doing this is one of the most important ways that firms can increase the effectiveness of their distribution channels, while reducing non-compliance and the associated risk exposure.