Section 9 – Compliance Copy

Lesson Materials

  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.