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:
You can also download this podcast by right clicking here and selecting save as.
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
Recent ComplianceCast™ Minutes