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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- Compliance Considerations for Dual Registrants
- Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace
- The Compliance Professionals Guide to Effective Trade Desk Monitoring
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