Compliance Essentials: Compliance Framework for Netrix Capital Referral Agents
About Course
Aligned with the Qualify-and-Hand-Off Role
Document Version 2.0
Required Reference Document – Level 1 (NCRA Designation Program)
Read and Acknowledge Required
Course Content
Compliance Essentials
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Important Notice About This Document
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Table of Contents
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Section 1: Compliance Foundations for NCRAs
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Section 2: Your Compliance Scope as an NCRA
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Section 3: Truthfulness and Anti-Fraud Requirements
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Section 4: Disclosure Obligations
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Section 5: Licensing and Registration Considerations
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Section 6: Confidentiality and Information Handling
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Section 7: Anti-Money Laundering Awareness
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Section 8: Record-Keeping Requirements
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Section 9: Reporting Compliance Concerns
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Section 10: Consequences of Non-Compliance
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Section 11: Quick Reference Summary