Client:
Investment advisory company with sales and trading staff providing investment advice to high net worth clients

Engagement:
We were contracted to update the sales and trading staff on recent regulatory changes impacting their activities. We interviewed a cross section of senior management in Administration, Sales and Trading to determine areas of need and interest in continuing education. We identified ten topics to be addressed in this segment of the Firm Element including the USA PATRIOT ACT, AML guidelines, conflict of interest situations and press relations.

Deliverable:
We researched each topic to ensure that our material was comprehensive and reflected the current environment. Program material was assembled using proprietary and publicly available content with the intent that this material would also serve as a future reference resource.
We conducted 16 sessions before and after market hours. Each session included an interactive presentation of the content, structured discussion of the motivation, purpose and impact of the regulatory changes. Each session ended with a mastery activity that engaged each participant in recognizing potential situations and identifying the alternative responses that would protect the firm, client and themselves.

Result:
Upon conclusion of the program, the client and each participant was empowered to conduct their business forearmed with a current perspective on the regulatory environment. The participants acknowledged that the training and associated mastery activities supported the transfer of knowledge and assisted in the application to day-to-day situations.

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