Are you spending too much time reviewing email as part of your compliance program, and seeing too many false positives flagged for review? Find out some tips and tricks from our consultants to enhance your email surveillance and make it more effective.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- 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
Recent ComplianceCast™ Minutes