Overview
Off-channel communications are communications that take place outside of ordinary or official communication channels. When used and managed correctly, they can be very beneficial. When they aren't managed correctly, violation of supervision and recordkeeping rules and regulations surrounding such communications can occur. This course will discuss communications in general, the different categories of off-channel communications, the rules and regulations governing their use, and real-world examples of failure to comply.
Learning Objectives
- Explain general communication principles
- Identify different categories of off-channel communications
- Assess the risks associated with off-channel communications
- Understand the rules and regulations governing communications, including off-channel communications
- Apply best practices when using off-channel communications
Designed For
Registered Representatives and Investment Adviser Representatives
Find this course for your license:
License or Certification
Regulator
Type