Online | The Firm Rules: Policies to Mitigate Risk

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Company policies are essential to mitigate risk and limit liability. This course provides a checklist of items that should be included in a policy manual and introduces options for each component.  From federal mandates, state regulations and Code of Ethics compliance to employment laws, data security, and brokerage policy options, you’ll come away with a clear understanding of what should be addressed.

Topics covered:

• Policy manual components and categories.
• Federal employment laws and HR policies.
• Technology security and data protection.
• Policies for independent contractors.
• Broker transaction policies.
• Appropriate and inappropriate brokerage policies.
• State license law regulations that should be included in a policy manual.
• Other brokerage policy options to be considered and addressed to reduce risk.

This course is presented in the following modules:

• Module 1: Self-Assessment & Overview
• Module 2: The Importance of Policy Manuals
• Module 3: Policy Manual Components & Categories
• Module 4: Federal Employment Laws for Companies & HR Policies for Employees
• Module 5: Technology, Security & Data Protection
• Module 6: Policies for Independent Contractors
• Module 7: Brokerage Policies