“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.
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- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
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