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Client:
Broker/dealer conducting execution facilitation of US Treasury bonds
Engagement:
Client requested that we assist in their compliance with a Continuing Education (CE) program for their traders, middle office, operations and administrative staff. This business was recently established and had no CE program in place.
Deliverable:
We conducted an analysis to determine issues and topics critical to the client’s business. We interviewed staff across functional activities and elicited their advice on evolving issues. We met with senior management to review our findings and seek their perspective and review regulatory comments.
We developed a multi-track CE program that addressed trading and support requirements and improved their knowledge of business practices, regulatory issues and ethics. The CE program employed pre-reading, brief presentations and interactive workshops to meet the learning objectives.
Result:
The CE program was implemented with our assistance to an audience that pro-actively participated in the learning process. Staff accepted and endorsed the relevant content and learning methods employed. The program has continued to evolve using the methodology employed, which the client has "internalized."
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Advisory
