Couldn’t make it to sunny, Naples, Florida for Ascendant’s 2013 Spring Compliance Conference? Korrine Kohm and Lisa Caruso give you a brief sampling of the important compliance and risk issues discussed by the SEC, industry experts, and panelists at the conference, in this first of a two-part podcast special. If you were able to attend, this recap provides some of the highlights you can take back to discuss with your firm. Stayed tuned for Part 2 of the recap, and we hope to see you at our next conference in Napa!
Listen to the podcast below:
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- New Form ADV: What you need to know to file your Annual Updating Amendment
- Due Diligence of Sub-Advisers and Other Third-Parties
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
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