“Compliance As Gatekeepers: NextGen Skills for Effective Compliance Management” was the aptly titled conference hosted in Naples Florida. Ascendant brought in a variety of speakers that educated attendees on the complex compliance environment that firms face every day. Topics ranged from cybersecurity risk management to behavioral ethics.
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