February 2009 is here already. Soon, we'll be commenting on how its already December 2009 and the year is almost over. Before that happens, lets make sure to plan, and execute, your 2009 compliance plan.
As compliance officers and principals should know, each firm must implement an annual compliance plan, to include a continuing education needs assessment, continuing education program, an annual compliance meeting, as well as periodic inspections of OSJs (Office of Supervisory Jurisdiction), branch and non-branch locations. Go ahead now and get those required action steps planned and on the calendar to ensure sufficient time to perform all necessary assessments and inspections. And, be sure to contact Joel Beck at The Beck Law Firm if you need a speaker for your annual compliance meeting to discuss current legal and compliance news, disciplinary actions and tips to avoid complaints and arbitrations.
