Section 9 – Compliance Copy

Questions:

1. What obstacles do you see as it relates to your compliance department? Write down the questions you anticipate them asking you and then write down your answers. You don’t need a lot of detail. Just use it as an opportunity to consider their concerns and prepare to address them. 

Task: Review the Regulation Resources list and see which ones you may need to pursue in order to be compliant.

Regulation Resources – A list of forms you may need to stay in line with compliance.