If the individuals involved have no relevant financial relationships, can we skip the disclosure portion of the activity?

No, according to SCS 6.2, even for individuals with no relevant financial relationship(s), the learners must be informed that no relevant financial relationship(s) exist.

compass

Weekly Compliance Tip

Do I need to replace an individual that has relevant financial relationships with ineligible companies?

Not necessarily.  Depending on the individual’s specific role… More >

Contact

Phone: (303) 557-0859
E-mail: inquire@aoeconsulting.com
AOE Consulting, LLC
8156-E S. Wadsworth Blvd.
Suite 198
Littleton, CO 80128