Our consultants provide a quick recap of Ascendant’s Fall 2013 compliance conference. Hear how staffing changes at the SEC may impact the assessment of your firm’s risks, and the areas in which examiners are finding deficiencies at firms.
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- The Compliance Professionals Guide to Effective Trade Desk Monitoring
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
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