This video reviews the company policy to meet regulations for communications with prospects and customers with respect to the securities of an investment company. Series 26, Rule 482 applies to an advertisement or other sales material with respect to the securities of an investment company. An advertisement must include a statement that advises an investor to consider the investment objectives, risks, and charges and expenses of the investment company carefully before investing. The rule also explains the prospectus contains this and other information about the investment company. Also required to be in compliance with advertising rules are the identity of a source from which an investor may obtain a prospectus and states the prospectus should be read carefully before investing. The accompanying profile contains this and other information about the investment company. Describes procedures for investing in the investment company and indicates the availability of the investment company’s prospectus.
Cordium offers a suite of online training videos to supplement your employee compliance training program. Our dynamic courses cover a wide variety of critical compliance issues. Cordium can customize training videos specifically for your needs.
In order to create a compliant culture, employees need to be trained to understand company policies or regulatory legislations. Create an engaging learning experience and make an impact with Cordium’s online video training.
Engaging: Cordium Online Training Courses are visually compelling with simple design, clear audio narration and concise content to ensure employees absorb and retain the material.
Cost Effective: Our flexible suite of compliance courses can be purchased in a bundle or on an individual basis or included with an annual software subscription.
Convenient: Our training courses can be integrated with your classroom training or viewed at each employee’s convenience.
From adding your logo, recording audio in specific languages, or adding scenarios your employees can relate to, courses can be creatively designed to accommodate your company’s needs.
Track Progress: Our courses can be integrated with Cordium Compliance software to assign, monitor and certify training completion.
Cordium is the leading global provider of regulatory compliance consulting, software and accounting and tax services to the asset management and securities industry. Today, Cordium supports more than 1,500 businesses, from start-ups to large firms with well-established track records. This puts us in a unique position to understand a wide variety of compliance training needs. With Cordium it’s more than merely fulfilling an obligation. Regulatory compliance is changing and we are spearheading the change.
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