As you wrap up your gifts and your year of compliance tasks, take a moment to reflect on all that happened this year in the compliance world with this special year-end holiday version of our ComplianceCasts™ Minute.
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- The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
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