Every year a registered representative will have to complete the following minimum requirements:
- Annual compliance questionnaires essential questions to ensure that the registered representative has an understanding of what is expected from her or him. This questionnaire may change periodically and will cover a wide range of content related to a registered representative.
- Annual firm element continuing education: the leaders group inc. Maintains a continuing and current education program for its covered registered persons to enhance their securities knowledge, skill, and professionalism. A third-party vendor hosts the training and once completed the registered representative receives a certificate of completion.
- Annual compliance meeting: each registered representative must participate in an annual compliance meeting which covers current or changing compliance matters relevant to the activities of the attendees.
All three requirements will be communicated to the registered representative well prior to due dates.